Broker-Dealer Firms
868 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Hastings Capital Group, LLC CRD: 142998 | NY | 0 | 2 | A | Active |
| Hazard & Siegel, Inc. CRD: 2048 | NY | 0 | 19 | A | Active |
| Healthcare Community Securities Corp. CRD: 36026 | NY | 1 | 8 | B | Active |
| Hedgemark Securities LLC CRD: 164503 | NY | 0 | 2 | A | Active |
| Henley & Company LLC CRD: 131453 | NY | 0 | 5 | A | Active |
| Henries Securities CRD: 306152 | NY | 0 | 2 | A | Active |
| Herold & Lantern Investments, Inc. CRD: 30996 | NY | 1 | 10 | B | Active |
| Hidden Road Partners CIV US LLC CRD: 331954 | NY | 0 | 8 | A | Active |
| Highwood Securities LLC CRD: 309938 | NY | 0 | 2 | A | Active |
| Hodes Weill Securities, LLC CRD: 131848 | NY | 1 | 2 | B | Active |
| Hold Brothers Capital LLC CRD: 151864 | NY | 3 | 2 | B | Active |
| Horang Securities, LLC CRD: 6004 | NY | 2 | 1 | B | Active |
| Howden Tiger Capital Markets & Advisory, LLC CRD: 172729 | NY | 0 | 4 | A | Active |
| HPS Securities, LLC CRD: 319197 | NY | 0 | 7 | A | Active |
| HRC Fund Associates, LLC CRD: 142846 | NY | 0 | 2 | A | Active |
| HRT Execution Services LLC CRD: 128491 | NY | 9 | 3 | C | Active |
| HRT Financial LP CRD: 152144 | NY | 10 | 4 | D | Active |
| HSBC Securities (USA) Inc. CRD: 19585 | NY | 94 | 287 | C | Active |
| Huatai Securities (USA), Inc. CRD: 298809 | NY | 0 | 2 | A | Active |
| Hudson Heritage Capital Management, Inc. CRD: 44357 | NY | 0 | 4 | A | Active |
| Hudson Housing Securities LLC CRD: 103861 | NY | 1 | 2 | B | Active |
| Hunnicutt & Co. LLC CRD: 20576 | NY | 1 | 2 | B | Active |
| IA Global Capital LLC CRD: 129802 | NY | 1 | 2 | B | Active |
| IBN Financial Services, Inc. CRD: 42360 | NY | 9 | 30 | B | Active |
| Icapital Markets LLC CRD: 118219 | NY | 0 | 7 | A | Active |
| Icbc Standard Securities Inc. CRD: 35560 | NY | 3 | 2 | B | Active |
| ICE Bonds Securities Corporation CRD: 123635 | NY | 1 | 6 | B | Active |
| ICE Securities Execution & Clearing, LLC CRD: 299634 | NY | 0 | 3 | A | Active |
| Icici Securities Inc. CRD: 104285 | NY | 1 | 2 | B | Active |
| ICM Capital Markets, LLC CRD: 312157 | NY | 0 | 2 | A | Active |
| IDB Capital Corp. CRD: 106032 | NY | 1 | 4 | B | Active |
| IEX DAP LLC CRD: 318014 | NY | 0 | 2 | A | Active |
| IEX Services LLC CRD: 167872 | NY | 0 | 2 | A | Active |
| IFM (US) Securities, LLC CRD: 166325 | NY | 0 | 2 | A | Active |
| Iifl Capital Inc. CRD: 149073 | NY | 1 | 2 | B | Active |
| IMPACTU.INVESTMENTS, LLC CRD: 122696 | NY | 0 | 2 | A | Active |
| Incred Securities Inc CRD: 337237 | NY | 0 | 2 | A | Active |
| ING Financial Markets LLC CRD: 28872 | NY | 10 | 28 | C | Active |
| Ingalls & Snyder, LLC CRD: 2288 | NY | 18 | 20 | B | Active |
| Instinet, LLC CRD: 7897 | NY | 81 | 11 | F | Active |
| Institutional Cash Distributors, LLC CRD: 149635 | NY | 0 | 4 | A | Active |
| Integral Wealth Securities LLC CRD: 36143 | NY | 2 | 2 | B | Active |
| Intesa Sanpaolo IMI Securities Corp. CRD: 19418 | NY | 12 | 2 | D | Active |
| Intrepid Partners, LLC CRD: 198516 | NY | 0 | 3 | A | Active |
| Investec Securities (US) LLC CRD: 138421 | NY | 0 | 2 | A | Active |
| Investx Markets LLC CRD: 148248 | NY | 0 | 2 | A | Active |
| IRC Securities LLC CRD: 150022 | NY | 1 | 2 | B | Active |
| Ironlight Markets, LLC CRD: 330576 | NY | 0 | 2 | A | Active |
| Itau BBA USA Securities, Inc. CRD: 118817 | NY | 3 | 3 | B | Active |
| IVP Capital, LLC CRD: 104197 | NY | 0 | 3 | A | Active |