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 |
|---|---|---|---|---|---|
| Kelley Financial Planning, LLC CRD: 297710 | - | 0 | 0 | - | Unknown |
| Kelley Investments CRD: 119099 | - | 0 | 1 | - | Unknown |
| Kelley Lane Capital, LLC CRD: 316410 | - | 0 | 1 | - | Unknown |
| Kelley-Roeske, Inc. CRD: 10037 | - | 0 | 0 | A | INACTIVE |
| Kelling, Northcross & Nobriga Incorporated CRD: 13435 | - | 0 | 0 | A | INACTIVE |
| Kellner Capital Management, Inc. CRD: 121573 | - | 0 | 1 | - | Unknown |
| Kellner Dileo Securities Corporation CRD: 13902 | - | 0 | 0 | A | INACTIVE |
| Kellner Management, LP CRD: 118884 | - | 0 | 0 | - | Unknown |
| Kellner Private Fund Management, LP CRD: 167870 | - | 0 | 0 | - | Unknown |
| Kellogg Asset Management, LLC CRD: 150031 | - | 0 | 4 | - | Unknown |
| Kellogg Capital Group LLC CRD: 35032 | - | 7 | 0 | D | INACTIVE |
| Kellogg Capital Markets, LLC CRD: 118790 | - | 9 | 0 | D | INACTIVE |
| Kellogg Partners Institutional Services LLC CRD: 126935 | - | 1 | 0 | B | INACTIVE |
| Kellogg Wealth Advisors, Inc. CRD: 144514 | - | 0 | 2 | - | Unknown |
| Kelly & Associates, LLC CRD: 123466 | - | 0 | 5 | - | Unknown |
| Kelly and Associates CRD: 115473 | - | 0 | 0 | - | Unknown |
| Kelly Capital Group, LLC CRD: 288475 | - | 0 | 3 | - | Unknown |
| Kelly Capital Management, LLC CRD: 132039 | - | 0 | 0 | - | Unknown |
| Kelly Compton Investments LLC CRD: 167179 | - | 0 | 0 | - | Unknown |
| Kelly Financial Group LLC CRD: 282172 | - | 0 | 1 | - | Unknown |
| Kelly Financial Planning, LLC CRD: 287569 | - | 0 | 1 | - | Unknown |
| Kelly Financial Services LLC CRD: 127462 | - | 0 | 0 | - | Unknown |
| Kelly Financial Services LLC CRD: 291996 | - | 0 | 5 | - | Unknown |
| Kelly Haft Registered Investment Advisory, LLC CRD: 149166 | - | 0 | 0 | - | Unknown |
| Kelly Intelligence CRD: 315259 | - | 0 | 1 | - | Unknown |
| Kelly Investment Management, LLC CRD: 322335 | - | 0 | 3 | - | Unknown |
| Kelly Investment Management, LLC CRD: 330355 | - | 0 | 1 | - | Unknown |
| Kelly Jones Investment Services, Inc. CRD: 143801 | - | 0 | 2 | - | Unknown |
| Kelly Klingaman Financial Planning LLC CRD: 306286 | - | 0 | 1 | - | Unknown |
| Kelly Park Investment LLC CRD: 299882 | - | 0 | 1 | - | Unknown |
| Kelly Park Management II LLC CRD: 329684 | - | 0 | 1 | - | Unknown |
| Kelly Wealth Management, Inc. CRD: 328386 | - | 0 | 1 | - | Unknown |
| Kelly, Edward Francis CRD: 39028 | - | 0 | 0 | A | INACTIVE |
| Kelman Lazarov Inc CRD: 107727 | - | 0 | 5 | - | Unknown |
| Kelmar Capital Management, LLC CRD: 127350 | - | 0 | 2 | - | Unknown |
| Kelmoore Investment Company, Inc. CRD: 22509 | - | 4 | 0 | C | INACTIVE |
| Kelos Wealth Planning, LLC CRD: 342194 | - | 0 | 1 | - | Unknown |
| Kelp Capital LLC CRD: 135079 | - | 0 | 2 | - | Unknown |
| Kelsey Financial, LLC CRD: 171901 | - | 0 | 0 | - | Unknown |
| Kelsey Financial, LLC CRD: 314950 | - | 0 | 6 | - | Unknown |
| Kelso & Company, L.P. CRD: 131471 | - | 0 | 1 | - | Unknown |
| Kelso Advisors, LLC CRD: 166269 | - | 0 | 0 | - | Unknown |
| Kelso Advisors, LLC CRD: 300511 | - | 0 | 0 | - | Unknown |
| Kelson Asset Management LLC CRD: 315511 | - | 0 | 2 | - | Unknown |
| Kelson Capital LLC CRD: 149477 | CT | 0 | 2 | A | Active |
| Kema Partners LLC CRD: 143752 | CA | 0 | 8 | A | Active |
| Kembol Ventures, LLC CRD: 335238 | - | 0 | 1 | - | Unknown |
| Kemp Financial Management, LLC CRD: 112127 | - | 0 | 0 | - | Unknown |
| Kempenich, Steven CRD: 328647 | - | 0 | 1 | - | Unknown |
| Kemper Financial Services, Inc. CRD: 798 | - | 0 | 0 | A | INACTIVE |