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 |
|---|---|---|---|---|---|
| Killen Group Inc CRD: 110421 | - | 0 | 0 | - | Unknown |
| Killington Investments Management CRD: 333403 | - | 0 | 1 | - | Unknown |
| Kilner Capital Advisors, LLC CRD: 139521 | - | 0 | 3 | - | Unknown |
| Kilonova Capital CRD: 323293 | - | 0 | 1 | - | Unknown |
| Kiltearn Partners CRD: 158789 | - | 0 | 0 | - | Unknown |
| Kilter Group CRD: 330356 | - | 0 | 7 | - | Unknown |
| Kilterhowling LLC CRD: 169684 | - | 0 | 3 | - | Unknown |
| Kilzer Wealth Management CRD: 134100 | - | 0 | 1 | - | Unknown |
| KIM Asset Management CRD: 285388 | - | 0 | 0 | - | Unknown |
| KIM Financial Advisors, Inc. CRD: 126745 | - | 0 | 0 | - | Unknown |
| KIM Knotts, RIA CRD: 289830 | - | 0 | 2 | - | Unknown |
| KIM, Chung (Peter) CRD: 47862 | - | 0 | 0 | A | INACTIVE |
| KIM, Daniel KAI Myong CRD: 42860 | - | 0 | 0 | A | INACTIVE |
| Kimball & Cross Investment Management Corp. CRD: 2438 | - | 6 | 0 | C | INACTIVE |
| Kimball Capital Management LLC CRD: 282795 | - | 0 | 0 | - | Unknown |
| Kimball, LLC CRD: 284902 | - | 0 | 1 | - | Unknown |
| Kimbank Capital Group, LLC CRD: 334558 | IL | 0 | 2 | A | Active |
| Kimbell Securities Corp. CRD: 16281 | - | 0 | 0 | A | INACTIVE |
| Kimberlite Advisors, LLC CRD: 153501 | - | 0 | 0 | A | INACTIVE |
| Kimberlite Asset Management LLC CRD: 281757 | - | 0 | 0 | - | Unknown |
| Kimberlite Financial Services Limited Liability Co… CRD: 342159 | - | 0 | 1 | - | Unknown |
| Kimberly Capital Corp. CRD: 41470 | - | 0 | 0 | A | INACTIVE |
| Kimberly Securities, Inc. CRD: 18286 | - | 0 | 0 | A | INACTIVE |
| Kimberly Securities, Inc. CRD: 19241 | - | 8 | 0 | D | INACTIVE |
| Kimble Advisory, LLC CRD: 290903 | - | 0 | 0 | - | Unknown |
| Kimble and Associates CRD: 16954 | - | 0 | 0 | A | INACTIVE |
| Kimbo Trading LLC CRD: 140265 | - | 0 | 0 | A | INACTIVE |
| Kimbridge & Co., Inc. CRD: 15631 | - | 0 | 0 | A | INACTIVE |
| Kimco CRD: 118426 | - | 0 | 0 | - | Unknown |
| Kimco International PTE. Ltd. CRD: 163896 | - | 0 | 0 | - | Unknown |
| Kimelman & Baird, LLC CRD: 2440 | NY | 5 | 3 | B | Active |
| Kimerling, Daniel CRD: 165802 | - | 0 | 0 | - | Unknown |
| Kimery Wealth Management, LLC CRD: 288229 | - | 0 | 2 | - | Unknown |
| Kimmel Advisor LLC CRD: 318383 | - | 0 | 0 | - | Unknown |
| Kimmel Advisor LLC CRD: 304937 | - | 0 | 0 | - | Unknown |
| Kimmel, Susan CRD: 121494 | - | 0 | 0 | - | Unknown |
| Kimmeridge Energy Management Company, LLC CRD: 160432 | - | 0 | 1 | - | Unknown |
| Kimmins Securities, Inc. CRD: 18168 | - | 0 | 0 | A | INACTIVE |
| Kimsa Asset Management LLC CRD: 309964 | - | 0 | 0 | - | Unknown |
| Kimstarr Equity Management, Inc. CRD: 140785 | - | 0 | 0 | - | Unknown |
| KIN Advisors, Inc CRD: 304790 | - | 0 | 0 | - | Unknown |
| KIN Prosperity Fund Manager, Inc. CRD: 336241 | - | 0 | 1 | - | Unknown |
| KIN Stewards LLC CRD: 340120 | - | 0 | 1 | - | Unknown |
| KIN Ventures Management Company, LLC CRD: 322955 | - | 0 | 1 | - | Unknown |
| Kind Capital Resources CRD: 301229 | - | 0 | 0 | - | Unknown |
| Kind Capital Wealth LLC CRD: 335098 | - | 0 | 1 | - | Unknown |
| Kinder Financial Services CRD: 156805 | - | 0 | 1 | - | Unknown |
| Kindergarten Ventures, LLC CRD: 316404 | - | 0 | 1 | - | Unknown |
| Kinderhook Industries, LLC CRD: 160193 | - | 0 | 1 | - | Unknown |
| Kinderhook Partners, LLC CRD: 156983 | - | 0 | 0 | - | Unknown |