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 |
|---|---|---|---|---|---|
| KJ Enterprises Inc CRD: 317974 | - | 0 | 0 | - | Unknown |
| KJH Financial Services CRD: 142443 | - | 0 | 1 | - | Unknown |
| KJLK & Co. CRD: 329634 | - | 0 | 0 | - | Unknown |
| KJM Securities, Inc. CRD: 20277 | - | 5 | 0 | C | INACTIVE |
| KJT Investments CRD: 125906 | - | 0 | 0 | - | Unknown |
| KKA Management GMBH CRD: 323240 | - | 0 | 0 | - | Unknown |
| KKB, P.C. CRD: 164987 | - | 0 | 0 | - | Unknown |
| KKL & Co., Inc. CRD: 970 | - | 0 | 0 | A | INACTIVE |
| KKM Financial LLC CRD: 165136 | - | 0 | 1 | - | Unknown |
| KKM Media Management, L.P. CRD: 24871 | - | 0 | 0 | A | INACTIVE |
| KKR Alternative Investment Management CRD: 226531 | - | 0 | 0 | - | Unknown |
| KKR Capital Markets LLC CRD: 143571 | NY | 0 | 6 | A | Active |
| KKR Credit Advisors (Singapore) PTE. Ltd. CRD: 309194 | - | 0 | 0 | - | Unknown |
| KKR Credit Advisors (US) LLC CRD: 146629 | - | 0 | 1 | - | Unknown |
| KKR Registered Advisor LLC CRD: 309284 | - | 0 | 1 | - | Unknown |
| KL Financial LLC CRD: 305309 | - | 0 | 2 | - | Unknown |
| KL Zech Investments CRD: 113656 | - | 0 | 2 | - | Unknown |
| Klaas Financial Asset Advisors, LLC. CRD: 121399 | - | 0 | 10 | - | Unknown |
| Klaff Realty, LP CRD: 265787 | - | 0 | 1 | - | Unknown |
| Klahanie Investment LLC CRD: 293070 | - | 0 | 2 | - | Unknown |
| Klakna Group Ltd CRD: 340430 | - | 0 | 1 | - | Unknown |
| Klamath Technology Credit Partners CRD: 292928 | - | 0 | 0 | - | Unknown |
| Klane Wealth Management, LLC CRD: 128080 | - | 0 | 0 | - | Unknown |
| Klar Partners CRD: 311707 | - | 0 | 0 | - | Unknown |
| Klaraos, LLC CRD: 115044 | - | 0 | 1 | - | Unknown |
| Klaren Capital CRD: 151086 | - | 0 | 2 | - | Unknown |
| Klarity Financial LLC CRD: 284957 | - | 0 | 0 | - | Unknown |
| KLCM Advisors, Inc. CRD: 107847 | - | 0 | 3 | - | Unknown |
| KLD Wealth Management CRD: 330287 | - | 0 | 1 | - | Unknown |
| Kleat Trading LLC CRD: 111294 | - | 0 | 0 | A | INACTIVE |
| Kleiboeker Capital Management, LLC CRD: 144460 | - | 0 | 0 | - | Unknown |
| Klein Asset Management LLC CRD: 136536 | - | 0 | 1 | - | Unknown |
| Klein Financial Advisors CRD: 118900 | - | 0 | 2 | - | Unknown |
| Klein Financial Advisors, Inc. CRD: 128910 | - | 0 | 0 | - | Unknown |
| Klein Financial Services CRD: 149508 | - | 0 | 0 | - | Unknown |
| Klein Investment Group, L.P. CRD: 36392 | - | 2 | 0 | B | INACTIVE |
| Klein Pavlis & Peasley Financial, Inc. CRD: 112414 | - | 0 | 1 | - | Unknown |
| Klein Wealth Management, LLC CRD: 307078 | - | 0 | 1 | - | Unknown |
| Klein, Maus & Shire Inc. CRD: 20527 | - | 0 | 0 | A | INACTIVE |
| Kleiner Perkins CRD: 161035 | - | 0 | 1 | - | Unknown |
| Kleinfelder Capital, Inc. CRD: 289345 | - | 0 | 1 | - | Unknown |
| Kleinhenz & Associates Ltd. CRD: 146015 | - | 0 | 0 | - | Unknown |
| Kleinman Financial Services CRD: 125950 | - | 0 | 0 | - | Unknown |
| Kleinsmith Resource Management, LLC CRD: 164545 | - | 0 | 1 | - | Unknown |
| Kleinwort Benson Fund Distributors, Inc. CRD: 24916 | - | 0 | 0 | A | INACTIVE |
| Kleinwort Benson North America Inc. CRD: 5087 | - | 0 | 0 | A | INACTIVE |
| Kleinwort,Benson(North America)Corporation CRD: 14385 | - | 0 | 0 | A | INACTIVE |
| Kleon Financial, LLC CRD: 121537 | NY | 0 | 3 | A | Active |
| Kleossum, Inc. CRD: 154685 | - | 0 | 0 | - | Unknown |
| Kley Peralta Securities, Inc. CRD: 18030 | - | 0 | 0 | A | INACTIVE |