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 |
|---|---|---|---|---|---|
| KLH Capital CRD: 304294 | - | 0 | 1 | - | Unknown |
| KLI Asset Management LLP CRD: 299898 | - | 0 | 0 | - | Unknown |
| KLI Capital CRD: 322056 | - | 0 | 0 | - | Unknown |
| Klimax Wealth Management, LLC CRD: 133710 | - | 0 | 2 | - | Unknown |
| Klimis & Associates Advisory, Inc. CRD: 142179 | - | 0 | 2 | - | Unknown |
| Kline Capital Management LLC CRD: 136825 | - | 0 | 1 | - | Unknown |
| Kline Capital Management, LLC CRD: 132228 | - | 0 | 0 | - | Unknown |
| Kline Hawkes Pacific Advisors, LLC CRD: 160916 | - | 0 | 0 | - | Unknown |
| Kline Hill Partners LP CRD: 283283 | - | 0 | 1 | - | Unknown |
| Klineman Associates, Inc. CRD: 6234 | - | 0 | 0 | A | INACTIVE |
| Klingen, Leonard Robert CRD: 38617 | - | 0 | 0 | A | INACTIVE |
| Klingenstein Fields Advisors CRD: 105907 | - | 0 | 2 | - | Unknown |
| Klingenstein Fields Advisors CRD: 304186 | - | 0 | 1 | - | Unknown |
| KLINGER.IO Advisors LLC CRD: 305800 | - | 0 | 0 | - | Unknown |
| Klingman and Associates, LLC CRD: 125618 | - | 0 | 1 | - | Unknown |
| Klingshirn Investment Advisors, LLC CRD: 146840 | - | 0 | 0 | - | Unknown |
| Klinkloans Fund CRD: 330004 | - | 0 | 1 | - | Unknown |
| Klipspringer Capital Management CRD: 334418 | - | 0 | 1 | - | Unknown |
| KLK Capital Management LLC CRD: 170571 | - | 0 | 0 | - | Unknown |
| KLK Capital Wealth Advisors LLC CRD: 310711 | - | 0 | 1 | - | Unknown |
| KLK Partners LLC CRD: 171205 | - | 0 | 0 | - | Unknown |
| KLM Partners LLC CRD: 316586 | - | 0 | 0 | - | Unknown |
| KLN Financial Group CRD: 128251 | - | 0 | 0 | - | Unknown |
| Klocke Capital Group, LLC CRD: 156160 | - | 0 | 1 | - | Unknown |
| Klocker Investment Advisers CRD: 334364 | - | 0 | 1 | - | Unknown |
| Klondike Financial, LLC CRD: 331193 | - | 0 | 0 | - | Unknown |
| Klopp Investment Management LLC CRD: 106145 | - | 0 | 4 | - | Unknown |
| Kloster Capital Management,L.L.C. CRD: 121901 | - | 0 | 0 | - | Unknown |
| Klosters Capital CRD: 285582 | - | 0 | 1 | - | Unknown |
| KLR Group Advisors, LP CRD: 297271 | - | 0 | 0 | - | Unknown |
| KLR Group, LLC CRD: 165586 | - | 0 | 0 | A | INACTIVE |
| KLR Investment Advisors, LLC CRD: 124716 | - | 0 | 0 | - | Unknown |
| KLS Diversified Asset Management LP CRD: 155837 | - | 0 | 0 | - | Unknown |
| KLS Professional Advisors Group, LLC CRD: 133319 | - | 0 | 0 | - | Unknown |
| KLSB Manager, LLC CRD: 288862 | - | 0 | 0 | - | Unknown |
| Kludein Management LLC CRD: 283614 | - | 0 | 0 | - | Unknown |
| Klute Capital Management, Inc. CRD: 150933 | - | 0 | 0 | - | Unknown |
| Kluz Ventures CRD: 292197 | - | 0 | 1 | - | Unknown |
| KM Advisory Services CRD: 107524 | - | 0 | 0 | - | Unknown |
| KM Capital Management, Ltd. CRD: 132887 | - | 0 | 4 | - | Unknown |
| KM Partners, LLC CRD: 311447 | - | 0 | 1 | - | Unknown |
| KM&M Pinnacle, Ltd. CRD: 121103 | - | 0 | 3 | - | Unknown |
| KMA Financial Services, LLC CRD: 286617 | - | 0 | 0 | - | Unknown |
| KMB Trading, Inc CRD: 103731 | - | 0 | 0 | A | INACTIVE |
| KMB Wealth Management, LLC CRD: 309053 | - | 0 | 1 | - | Unknown |
| KMC Wealth Management, LLC CRD: 167437 | - | 0 | 2 | - | Unknown |
| KMCP Advisors II, LLC CRD: 160673 | - | 0 | 0 | - | Unknown |
| KMD Investments Manager, LLC CRD: 334509 | - | 0 | 1 | - | Unknown |
| KMF Investments Management, LLC CRD: 146210 | - | 0 | 3 | - | Unknown |
| KMG Fiduciary Partners, LLC CRD: 298331 | - | 0 | 8 | - | Unknown |