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 |
|---|---|---|---|---|---|
| Kent Capital Limited Partnership CRD: 28365 | - | 0 | 0 | A | INACTIVE |
| Kent King Securities Co., Inc. CRD: 2424 | - | 7 | 0 | D | INACTIVE |
| Kent Lake PR LLC CRD: 299642 | - | 0 | 0 | - | Unknown |
| Kentansa Finance, LLC CRD: 307194 | - | 0 | 0 | - | Unknown |
| Kenter Canyon Capital, LLC CRD: 150624 | - | 0 | 1 | - | Unknown |
| Kenter Securities Corporation CRD: 14702 | - | 0 | 0 | A | INACTIVE |
| Kentor Financial CRD: 114996 | - | 0 | 1 | - | Unknown |
| Kentor Waxman Investments, Inc. CRD: 16305 | - | 0 | 0 | A | INACTIVE |
| Kentucky Eagle Financial Group, Inc. CRD: 42579 | - | 0 | 0 | A | INACTIVE |
| Kentucky Seed Capital Fund CRD: 163560 | - | 0 | 0 | - | Unknown |
| Kentucky Select Fund CRD: 315742 | - | 0 | 0 | - | Unknown |
| Kenwood Financial Group of Minneapolis, Inc. CRD: 7415 | - | 0 | 0 | A | INACTIVE |
| Kenworthy Capital MGMT. CRD: 116943 | - | 0 | 0 | - | Unknown |
| Kenwyck Capital CRD: 332844 | - | 0 | 1 | - | Unknown |
| Kenyon Securities Corporation CRD: 14091 | - | 0 | 0 | A | INACTIVE |
| Keogler Investment Advisory, Inc. CRD: 41950 | - | 0 | 0 | A | INACTIVE |
| Keogler, Morgan & Company, Inc. CRD: 16546 | - | 0 | 0 | A | INACTIVE |
| Kepha Partners Management LLC CRD: 161541 | - | 0 | 1 | - | Unknown |
| Kepler Capital Markets, Inc. CRD: 139148 | NY | 1 | 2 | B | Active |
| Kepler Operators CRD: 312451 | - | 0 | 1 | - | Unknown |
| Kepley & Co., Incorporated CRD: 20613 | - | 0 | 0 | A | INACTIVE |
| Kepos Capital LP CRD: 156361 | - | 0 | 1 | - | Unknown |
| Keppel Credit Fund Management PTE Ltd CRD: 331035 | - | 0 | 0 | - | Unknown |
| Keppel Fund Management Limited CRD: 162842 | - | 0 | 0 | - | Unknown |
| Keppler Asset Management Inc. CRD: 112234 | - | 0 | 0 | - | Unknown |
| KER Equity Group, Inc. CRD: 17354 | - | 0 | 0 | A | INACTIVE |
| Kera Capital Partners CRD: 312875 | - | 0 | 12 | - | Unknown |
| Kerand Securities Company CRD: 22991 | - | 0 | 0 | A | INACTIVE |
| Kerberos Capital Management LLC CRD: 315699 | - | 0 | 1 | - | Unknown |
| Kerberrose Wealth Management, LLC CRD: 168787 | - | 0 | 10 | - | Unknown |
| Kerburn Rose U.S. CRD: 226786 | - | 0 | 0 | - | Unknown |
| Kercheville & Company, Inc. CRD: 15871 | - | 8 | 0 | D | INACTIVE |
| Kercheville Advisors LLC CRD: 169471 | - | 0 | 1 | - | Unknown |
| Kerfoot Wealth Management, LLC CRD: 169382 | - | 0 | 0 | - | Unknown |
| Kerlin Capital Group LLC CRD: 40263 | - | 0 | 0 | A | INACTIVE |
| Kern Capital CRD: 329540 | - | 0 | 1 | - | Unknown |
| Kern Energy Partners Management Ltd. CRD: 292607 | - | 0 | 0 | - | Unknown |
| Kern, Suslow Securities, Inc. CRD: 24755 | - | 5 | 0 | C | INACTIVE |
| Kerney SPLS Management, LLC CRD: 304764 | - | 0 | 1 | - | Unknown |
| Kernodle & Katon TAX and Asset Management Group CRD: 165374 | - | 0 | 0 | - | Unknown |
| Kerns Capital Management, Inc. CRD: 110107 | - | 0 | 0 | - | Unknown |
| Kerns Capital Management, LLC CRD: 322713 | - | 0 | 1 | - | Unknown |
| Kerns Legacy Planning CRD: 340407 | - | 0 | 1 | - | Unknown |
| Kerns Programs, Inc. CRD: 24010 | - | 0 | 0 | A | INACTIVE |
| Kerogen Capital (UK) Limited CRD: 295043 | - | 0 | 0 | - | Unknown |
| Kerogen Capital (Asia) Limited CRD: 164934 | - | 0 | 0 | - | Unknown |
| Kerogen Capital II Limited CRD: 295054 | - | 0 | 0 | - | Unknown |
| Kerogen Capital Limited CRD: 295065 | - | 0 | 0 | - | Unknown |
| Kerr Securities Company,Inc. CRD: 14440 | - | 0 | 0 | A | INACTIVE |
| Kerr Wealth Management CRD: 277142 | - | 0 | 3 | - | Unknown |