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 |
|---|---|---|---|---|---|
| KI Capital Wealth Management US LLC CRD: 317738 | - | 0 | 1 | - | Unknown |
| KI Partners CRD: 309822 | - | 0 | 0 | - | Unknown |
| Kian Capital Partners, LLC CRD: 329179 | - | 0 | 1 | - | Unknown |
| Kiara Advisors PTE Ltd CRD: 284221 | - | 0 | 0 | - | Unknown |
| Kiaros Advisors, LLC CRD: 159955 | - | 0 | 1 | - | Unknown |
| Kibble & Prentice Financial, Inc. CRD: 40950 | - | 0 | 0 | A | INACTIVE |
| Kibble & Prentice Holding Company CRD: 127672 | - | 0 | 0 | - | Unknown |
| Kibbutz VC CRD: 292156 | - | 0 | 1 | - | Unknown |
| Kibo Investment Advisors LLC CRD: 342173 | - | 0 | 1 | - | Unknown |
| Kich Trading Inc. CRD: 107736 | - | 0 | 0 | A | INACTIVE |
| Kicking Horse Investment Management, LLC CRD: 163974 | - | 0 | 1 | - | Unknown |
| Kickpoint Financial, LLC CRD: 300423 | - | 0 | 2 | - | Unknown |
| Kickstand Wealth Advisors CRD: 327022 | - | 0 | 1 | - | Unknown |
| Kickstart Capital, LLC CRD: 167541 | - | 0 | 1 | - | Unknown |
| Kickstart Financial Planning LLC CRD: 339922 | - | 0 | 1 | - | Unknown |
| Kidd Financial Planning, LLC. CRD: 323502 | - | 0 | 2 | - | Unknown |
| Kidd Vision Capital LLC CRD: 319401 | - | 0 | 1 | - | Unknown |
| Kidder, Peabody & Co. Incorporated CRD: 7613 | - | 0 | 0 | A | INACTIVE |
| Kidder, Peabody Puerto Rico, Inc. CRD: 27413 | - | 0 | 0 | A | INACTIVE |
| Kiddos Capital CRD: 339209 | - | 0 | 1 | - | Unknown |
| Kidron Capital Securities LLC CRD: 149826 | NY | 0 | 3 | A | Active |
| Kids Capital Management, L.P. CRD: 287764 | - | 0 | 1 | - | Unknown |
| Kiefer Financial Advising LLC CRD: 341026 | - | 0 | 1 | - | Unknown |
| Kieffer Capital CRD: 165405 | - | 0 | 0 | - | Unknown |
| Kiehne Wealth & Retirement, LLC CRD: 309251 | - | 0 | 1 | - | Unknown |
| Kiel Investment Company CRD: 131043 | - | 0 | 1 | - | Unknown |
| Kiely Capital Management, Inc. CRD: 121480 | - | 0 | 1 | - | Unknown |
| Kiely Wealth Advisory Group, Inc. CRD: 109438 | - | 0 | 0 | - | Unknown |
| Kienzle Wealth Consulting LLC CRD: 316758 | - | 0 | 1 | - | Unknown |
| Kiepe Wealth Management CRD: 334273 | - | 0 | 1 | - | Unknown |
| Kiesling Investment Management LLC CRD: 115400 | - | 0 | 0 | - | Unknown |
| KIG Investment Management, LLC CRD: 305498 | - | 0 | 0 | - | Unknown |
| Kiitos Capital Management, LLC CRD: 151801 | - | 0 | 0 | - | Unknown |
| Kiker Wealth Management, LLC CRD: 154405 | - | 0 | 3 | - | Unknown |
| Kilcullin Financial Life Planning, LLC CRD: 281362 | - | 0 | 1 | - | Unknown |
| Kildare Asset Management, LLC CRD: 141908 | - | 0 | 0 | - | Unknown |
| Kildare Capital, Inc. CRD: 45796 | - | 4 | 0 | C | INACTIVE |
| Kildare Partners US, LLC CRD: 167984 | - | 0 | 1 | - | Unknown |
| Kildonan Castle Asset Management, L.P. CRD: 159652 | - | 0 | 0 | - | Unknown |
| Kileen Diane Rezac, Sole Proprietor CRD: 116718 | - | 0 | 0 | - | Unknown |
| Kilefner, Jarod CRD: 281674 | - | 0 | 0 | - | Unknown |
| Kiley Investment Management, Inc. CRD: 147024 | - | 0 | 0 | - | Unknown |
| Kiley Juergens Wealth Management, LLC CRD: 151088 | - | 0 | 1 | - | Unknown |
| Kiley Partners, Inc. CRD: 37814 | NV | 4 | 3 | B | Active |
| Kilihune Research, LLC CRD: 315075 | - | 0 | 1 | - | Unknown |
| Kilimanjaro Advisors LLC CRD: 137786 | - | 0 | 0 | - | Unknown |
| Kilimanjaro Capital, LLC CRD: 152262 | - | 0 | 2 | - | Unknown |
| Kilkenny, Michael Joseph CRD: 35276 | - | 1 | 0 | B | INACTIVE |
| Killarney Securities Corporation CRD: 43135 | - | 0 | 0 | A | INACTIVE |
| Killebrew & Company, Inc. CRD: 20450 | - | 0 | 0 | A | INACTIVE |