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 |
|---|---|---|---|---|---|
| Kirkwood Eugene J., SR. CRD: 149215 | - | 0 | 0 | - | Unknown |
| Kirkwood Investment Management CRD: 163015 | - | 0 | 0 | - | Unknown |
| Kirkwood Private, LLC CRD: 139593 | - | 0 | 2 | - | Unknown |
| Kirlin Securities Inc. CRD: 21210 | - | 34 | 0 | F | INACTIVE |
| Kirmani Partners CRD: 337612 | - | 0 | 1 | - | Unknown |
| Kirr, Marbach & Company, LLC CRD: 104634 | - | 0 | 7 | - | Unknown |
| Kirsch Capital LLC CRD: 315704 | - | 0 | 1 | - | Unknown |
| Kirschner Securities, Inc. CRD: 27016 | - | 0 | 0 | A | INACTIVE |
| Kirtland Capital Partners CRD: 159774 | - | 0 | 1 | - | Unknown |
| Kirtland Financial Management, Inc. CRD: 131138 | - | 0 | 1 | - | Unknown |
| Kirtland Hills Capital Management, LLC CRD: 174335 | - | 0 | 2 | - | Unknown |
| Kirtland Securities, Inc. CRD: 25576 | - | 0 | 0 | A | INACTIVE |
| Kirwan Capital CRD: 165716 | - | 0 | 2 | - | Unknown |
| Kirwin Financial LLC CRD: 314561 | - | 0 | 2 | - | Unknown |
| Kirz, Paul H CRD: 136869 | - | 0 | 1 | - | Unknown |
| KIS Financial Services, Inc. CRD: 114200 | - | 0 | 0 | A | INACTIVE |
| Kisc, LLC CRD: 286634 | - | 0 | 0 | - | Unknown |
| Kisco Capital, LLC CRD: 226621 | - | 0 | 1 | - | Unknown |
| Kisher Capital, LLC CRD: 334680 | - | 0 | 2 | - | Unknown |
| Kisin Wealth Management LLC CRD: 297363 | - | 0 | 2 | - | Unknown |
| Kiski Partners LLC CRD: 166294 | - | 0 | 0 | - | Unknown |
| Kiski Securities LLC CRD: 159281 | - | 0 | 0 | A | INACTIVE |
| Kismet Capital, LLC CRD: 171662 | - | 0 | 1 | - | Unknown |
| Kiso Capital CRD: 288152 | - | 0 | 0 | - | Unknown |
| Kissane, Marguerite Mary CRD: 32673 | - | 0 | 0 | A | INACTIVE |
| Kissel, ROY Warren CRD: 34646 | - | 0 | 0 | A | INACTIVE |
| Kissinger Financial Services, LLC CRD: 284871 | - | 0 | 0 | - | Unknown |
| Kissling Financial Services, LLC CRD: 299531 | - | 0 | 2 | - | Unknown |
| Kistler-Tiffany Advisors CRD: 145256 | - | 0 | 0 | - | Unknown |
| Kitano Capital CRD: 160931 | - | 0 | 0 | - | Unknown |
| Kitchen Investment Management LLC CRD: 160855 | - | 0 | 0 | - | Unknown |
| Kitchen Ventures, LLC CRD: 307423 | - | 0 | 1 | - | Unknown |
| Kitchensink Financial Planning, LLC CRD: 338673 | - | 0 | 1 | - | Unknown |
| Kitching Partners, LLC CRD: 325042 | - | 0 | 1 | - | Unknown |
| Kite Investment Corporation CRD: 10954 | - | 0 | 0 | A | INACTIVE |
| Kite Lake Capital Management (UK) LLP CRD: 168309 | - | 0 | 0 | - | Unknown |
| Kitef Investments Co. CRD: 26995 | - | 0 | 0 | A | INACTIVE |
| Kith & KIN Wealth CRD: 341864 | - | 0 | 1 | - | Unknown |
| Kitsman Investment Management CRD: 288035 | - | 0 | 1 | - | Unknown |
| Kitsune Advisors CRD: 175125 | - | 0 | 0 | - | Unknown |
| Kittery Point Capital, LLC CRD: 166758 | - | 0 | 0 | A | INACTIVE |
| Kittlaus Company CRD: 14526 | - | 0 | 0 | A | INACTIVE |
| Kittle Capital Markets, LLC CRD: 159174 | IN | 0 | 3 | A | Active |
| Kittyhawk Ventures, LLC CRD: 290082 | - | 0 | 1 | - | Unknown |
| Kiva Capital Management, LLC CRD: 310970 | - | 0 | 0 | - | Unknown |
| Kiwoom Asset Management Asia PTE. Ltd. CRD: 338581 | - | 0 | 0 | - | Unknown |
| Kiwoom Securities (USA) Inc. CRD: 31977 | NY | 1 | 2 | B | Active |
| Kize Capital LP CRD: 305608 | - | 0 | 1 | - | Unknown |
| KJ Capital Management LLC CRD: 147495 | - | 0 | 3 | - | Unknown |
| KJ Donnelly Planning LLC CRD: 126577 | - | 0 | 0 | - | Unknown |