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 |
|---|---|---|---|---|---|
| Keene & Dorchak CRD: 107961 | - | 0 | 0 | - | Unknown |
| Keener Financial Planning CRD: 147615 | - | 0 | 4 | - | Unknown |
| Keener Investments CRD: 117141 | - | 0 | 1 | - | Unknown |
| Keeney Financial Group Inc. CRD: 281333 | - | 0 | 0 | - | Unknown |
| Keensight Capital CRD: 301910 | - | 0 | 0 | - | Unknown |
| Keep IT Simple Financial Planning CRD: 269826 | - | 0 | 1 | - | Unknown |
| Keepsake Management Inc. CRD: 129359 | - | 0 | 1 | - | Unknown |
| Keesha Tyler LLC CRD: 297356 | - | 0 | 1 | - | Unknown |
| Keeton Securities, Inc. CRD: 23624 | - | 0 | 0 | A | INACTIVE |
| Kefco Securities, Inc. CRD: 31456 | - | 0 | 0 | A | INACTIVE |
| Keffer Financial Planning CRD: 143785 | - | 0 | 1 | - | Unknown |
| Kehlet Capital Management, LLC CRD: 289333 | - | 0 | 1 | - | Unknown |
| Kehoe Investment Services, Inc CRD: 148997 | - | 0 | 1 | - | Unknown |
| Kehrs Ridge Capital, LLC CRD: 304234 | - | 0 | 0 | - | Unknown |
| Keidan Financial Consultants LLC CRD: 108093 | - | 0 | 2 | - | Unknown |
| Keidan Management Inc. CRD: 311075 | - | 0 | 1 | - | Unknown |
| Keim & Associates, Inc CRD: 125267 | - | 0 | 0 | - | Unknown |
| Keirestu Capital Blockchain Fund Manager, LLC CRD: 296969 | - | 0 | 0 | - | Unknown |
| Keirestu Capital Blockchain Fund Manager, LLC CRD: 334019 | - | 0 | 1 | - | Unknown |
| Keiretsu Advisors, LLC CRD: 292068 | - | 0 | 0 | - | Unknown |
| Keiretsu Capital LLC CRD: 173879 | - | 0 | 1 | - | Unknown |
| Keiser Analytics CRD: 156379 | - | 0 | 0 | A | INACTIVE |
| Keith Kelvin Anderson CRD: 114956 | - | 0 | 1 | - | Unknown |
| Keith L. Eliou, CFP CRD: 301734 | - | 0 | 1 | - | Unknown |
| Keith Mcbride Financial Services Inc. CRD: 307499 | - | 0 | 2 | - | Unknown |
| Keith Robert Dorney CRD: 331299 | - | 0 | 0 | - | Unknown |
| Keith Securities, Inc. CRD: 22647 | - | 0 | 0 | A | INACTIVE |
| Keitz Investment Management Ltd. CRD: 123770 | - | 0 | 3 | - | Unknown |
| KEJ Financial Advisors CRD: 144759 | - | 0 | 2 | - | Unknown |
| Kelan Capital CRD: 326583 | - | 0 | 1 | - | Unknown |
| Kelark Capital Assets, Inc. CRD: 18521 | - | 0 | 0 | A | INACTIVE |
| Kelda Wealth Management LLC CRD: 340241 | - | 0 | 1 | - | Unknown |
| Kell Capital, LLC CRD: 312863 | - | 0 | 0 | - | Unknown |
| Kell Capital, LLC CRD: 334669 | - | 0 | 1 | - | Unknown |
| Kell/Fahy Trading Partnership CRD: 104466 | - | 0 | 0 | A | INACTIVE |
| Kellam Financial Planning, Inc. CRD: 123642 | - | 0 | 0 | - | Unknown |
| Kellam Insurance and Financial Services LLC CRD: 169922 | - | 0 | 1 | - | Unknown |
| Kellar Securities Group, Inc. CRD: 18503 | - | 0 | 0 | A | INACTIVE |
| Kelleher Financial Advisors, LLC CRD: 126021 | - | 0 | 4 | - | Unknown |
| Keller Family LAW & Investments CRD: 320868 | - | 0 | 0 | - | Unknown |
| Keller Financial Group CRD: 328195 | - | 0 | 1 | - | Unknown |
| Keller Investment Advisors LLC CRD: 342523 | - | 0 | 2 | - | Unknown |
| Keller Investment Management Inc CRD: 105497 | - | 0 | 0 | - | Unknown |
| Keller Wealth Advisors CRD: 111610 | - | 0 | 1 | - | Unknown |
| Keller Wealth Management LLC CRD: 311986 | - | 0 | 1 | - | Unknown |
| Keller, James Thomas CRD: 119431 | - | 0 | 0 | A | INACTIVE |
| Keller, Timothy Gregory CRD: 33684 | - | 0 | 0 | A | INACTIVE |
| Kellerman Financial Planning CRD: 284698 | - | 0 | 0 | - | Unknown |
| Kellett Wealth Advisors, LLC CRD: 287571 | - | 0 | 1 | - | Unknown |
| Kelley Capital Management CRD: 128874 | - | 0 | 0 | - | Unknown |