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 |
|---|---|---|---|---|---|
| King Retirement Solutions, LLC CRD: 299303 | - | 0 | 1 | - | Unknown |
| King Ridge Asset Management LLC CRD: 108761 | - | 0 | 0 | - | Unknown |
| King Ridge Capital Advisors, LLC CRD: 333383 | - | 0 | 1 | - | Unknown |
| King River Capital Management PTY Ltd CRD: 317361 | - | 0 | 0 | - | Unknown |
| King Rook Capital LLC CRD: 168569 | - | 0 | 0 | - | Unknown |
| King Sharon S. CRD: 33989 | - | 0 | 0 | A | INACTIVE |
| King Street Capital Management, L.P. CRD: 156785 | - | 0 | 1 | - | Unknown |
| King Tide Advisors CRD: 318185 | - | 0 | 0 | - | Unknown |
| King Tower Asset Management Company Limited CRD: 322563 | - | 0 | 0 | - | Unknown |
| King Wealth Advisors, LLC CRD: 281798 | - | 0 | 1 | - | Unknown |
| King Wealth Management Group, LLC CRD: 159550 | - | 0 | 9 | - | Unknown |
| King Wealth Planning, Inc. CRD: 112717 | - | 0 | 0 | - | Unknown |
| King's Leap Capital LLC CRD: 292039 | - | 0 | 0 | - | Unknown |
| King, Errol Gene CRD: 138234 | - | 0 | 0 | - | Unknown |
| King, Janice M. CRD: 135456 | - | 0 | 0 | - | Unknown |
| Kingbird Investment Management CRD: 308069 | - | 0 | 1 | - | Unknown |
| Kingdom 1ST Financial Services Inc CRD: 169898 | - | 0 | 0 | - | Unknown |
| Kingdom Africa Management CRD: 163261 | - | 0 | 0 | - | Unknown |
| Kingdom Capital Advisors, LLC CRD: 316530 | - | 0 | 1 | - | Unknown |
| Kingdom Capital Management CRD: 307223 | - | 0 | 1 | - | Unknown |
| Kingdom Capital Management, Inc. CRD: 269899 | - | 0 | 0 | - | Unknown |
| Kingdom Financial CRD: 328544 | - | 0 | 1 | - | Unknown |
| Kingdom Financial Advisors, Inc. CRD: 45990 | - | 0 | 0 | A | INACTIVE |
| Kingdom Financial Group, LLC CRD: 155676 | - | 0 | 3 | - | Unknown |
| Kingdom First Investments MGR CRD: 321226 | - | 0 | 0 | - | Unknown |
| Kingdom Global Advisory Group, LLC CRD: 324056 | - | 0 | 0 | - | Unknown |
| Kingdom Legacy Advisors CRD: 334847 | - | 0 | 1 | - | Unknown |
| Kingdom Ridge Capital, LLC CRD: 155057 | - | 0 | 0 | - | Unknown |
| Kingdom Wealth Advisers CRD: 328498 | - | 0 | 1 | - | Unknown |
| Kingdom Wealth Development, LLC CRD: 291802 | - | 0 | 1 | - | Unknown |
| Kingdom Works Financial CRD: 333453 | - | 0 | 0 | - | Unknown |
| Kingdon Capital Management, L.L.C. CRD: 157509 | - | 0 | 1 | - | Unknown |
| Kingfish Capital Partners LLC CRD: 283489 | - | 0 | 1 | - | Unknown |
| Kingfisher Capital Management LLC CRD: 324155 | - | 0 | 1 | - | Unknown |
| Kingfisher Capital, LLC CRD: 150484 | - | 0 | 0 | - | Unknown |
| Kingfisher Investment Advisors, LLC CRD: 168144 | - | 0 | 1 | - | Unknown |
| Kingfisher Investors LLC CRD: 114374 | - | 0 | 2 | - | Unknown |
| Kingfisher Securities, LLC CRD: 103771 | MN | 0 | 3 | A | Active |
| Kinghorn LAW | Financial CRD: 306672 | - | 0 | 1 | - | Unknown |
| Kingland Capital Corporation CRD: 16341 | - | 0 | 0 | A | INACTIVE |
| Kingman Douglass, Inc. CRD: 16107 | - | 0 | 0 | A | INACTIVE |
| Kings Capital Management Inc. CRD: 107142 | - | 0 | 0 | - | Unknown |
| Kings Court Capital PTE. Ltd CRD: 311229 | - | 0 | 0 | - | Unknown |
| Kings Path Partners LLC CRD: 269876 | - | 0 | 1 | - | Unknown |
| Kings Peak Asset Management LP CRD: 173096 | - | 0 | 0 | - | Unknown |
| Kings Point Capital Management LLC CRD: 137728 | - | 0 | 0 | - | Unknown |
| Kingsbarn Capital Management CRD: 316562 | - | 0 | 1 | - | Unknown |
| Kingsbridge Advisors, LLC CRD: 126936 | - | 0 | 1 | - | Unknown |
| Kingsbridge Capital Corp. CRD: 42916 | - | 1 | 0 | B | INACTIVE |
| Kingsbridge Investment Partners LLC CRD: 336502 | - | 0 | 1 | - | Unknown |