Broker-Dealer Firms
80,028 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 |
|---|---|---|---|---|---|
| Keatley Wealth Management, LLC CRD: 127980 | - | 0 | 0 | - | Unknown |
| Keaton Capital Management L.L.C. CRD: 159027 | - | 0 | 1 | - | Unknown |
| Keaton Financial Services, Inc. CRD: 40467 | - | 2 | 0 | B | INACTIVE |
| Keats, Connelly & Associates, Inc CRD: 148884 | - | 0 | 2 | - | Unknown |
| KEB Wealth Advisors CRD: 117935 | - | 0 | 5 | - | Unknown |
| KEC Management L.P. CRD: 281171 | - | 0 | 1 | - | Unknown |
| Keck Securities CRD: 31625 | - | 2 | 0 | B | INACTIVE |
| Kedaara Capital Advisory Services LLP CRD: 290337 | - | 0 | 0 | - | Unknown |
| Kedaara Capital Investment Managers Limited CRD: 165230 | - | 0 | 0 | - | Unknown |
| Kedalion Capital Management LLP CRD: 298322 | - | 0 | 0 | - | Unknown |
| Kedem Capital Corporation CRD: 18178 | - | 3 | 0 | B | INACTIVE |
| Kedma Capital S.H.E. Ltd CRD: 284098 | - | 0 | 0 | - | Unknown |
| Kedrec LLC CRD: 324024 | - | 0 | 1 | - | Unknown |
| Kedzior Wealth Management LLC CRD: 289293 | - | 0 | 1 | - | Unknown |
| KEE Huchok Wealth Management LLC CRD: 154370 | - | 0 | 1 | - | Unknown |
| KEE Multi Family Office Corp. CRD: 285883 | - | 0 | 0 | - | Unknown |
| Keebeck Wealth Management CRD: 297496 | - | 0 | 2 | - | Unknown |
| Keeble IV, John B. CRD: 172274 | - | 0 | 0 | - | Unknown |
| Keefe Ventures, LLC CRD: 104419 | - | 0 | 0 | A | INACTIVE |
| Keefe, Bruyette & Woods, Inc. CRD: 481 | NY | 17 | 17 | C | Active |
| Keefer Pension Consulting, Inc. CRD: 150657 | - | 0 | 1 | - | Unknown |
| Keegan Capital Management CRD: 310483 | - | 0 | 0 | - | Unknown |
| Keel & Long Financial Management, LLC CRD: 292851 | - | 0 | 1 | - | Unknown |
| Keel Asset Management LLC CRD: 139246 | - | 0 | 0 | - | Unknown |
| Keel Asset Management, LLC CRD: 147339 | - | 0 | 1 | - | Unknown |
| Keel Capital AB CRD: 283825 | - | 0 | 0 | - | Unknown |
| Keel Point Capital, LLC CRD: 6769 | AL | 0 | 12 | A | Active |
| Keel Point Investments, LLC CRD: 160526 | - | 0 | 0 | A | INACTIVE |
| Keel Point Personal Money Management, LLC CRD: 316478 | - | 0 | 0 | - | Unknown |
| Keel Point, LLC CRD: 127902 | - | 0 | 35 | - | Unknown |
| Keel Wealth Management, LLC CRD: 285682 | - | 0 | 1 | - | Unknown |
| Keelan Capital CRD: 322725 | - | 0 | 0 | - | Unknown |
| Keeler & Co., LLC CRD: 125185 | - | 0 | 0 | A | INACTIVE |
| Keeler & Nadler Family Wealth CRD: 173079 | - | 0 | 1 | - | Unknown |
| Keeler Financial Services CRD: 166813 | - | 0 | 0 | - | Unknown |
| Keeler Thomas Management LLC CRD: 109522 | - | 0 | 3 | - | Unknown |
| Keeler, Robert William CRD: 114112 | - | 0 | 0 | A | INACTIVE |
| Keeley Asset Management Corp CRD: 104994 | - | 0 | 0 | - | Unknown |
| Keeley Investment Corp. CRD: 7346 | - | 1 | 0 | B | INACTIVE |
| Keeley-Teton Advisors, LLC CRD: 286297 | - | 0 | 1 | - | Unknown |
| Keen Capital Management CRD: 315078 | - | 0 | 1 | - | Unknown |
| Keen Capital, LLC CRD: 283597 | - | 0 | 2 | - | Unknown |
| Keen Capital, Ltd CRD: 145023 | - | 0 | 2 | - | Unknown |
| Keen Wealth Advisors CRD: 170293 | - | 0 | 1 | - | Unknown |
| Keenan & Clarey, Inc. CRD: 482 | - | 0 | 0 | A | INACTIVE |
| Keenan Capital, LLC CRD: 167390 | - | 0 | 1 | - | Unknown |
| Keenan Financial CRD: 285673 | - | 0 | 2 | - | Unknown |
| Keenan Financial & Insurance Services, Inc. CRD: 6746 | - | 0 | 0 | A | INACTIVE |
| Keenan Private Wealth Management CRD: 118174 | - | 0 | 2 | - | Unknown |
| Keenan Securities,Inc. CRD: 13413 | - | 0 | 0 | A | INACTIVE |