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 |
|---|---|---|---|---|---|
| KMH Management Inc. CRD: 143036 | - | 0 | 0 | - | Unknown |
| KMI CRD: 132506 | - | 0 | 0 | - | Unknown |
| KMI Securities Corporation CRD: 14828 | - | 0 | 0 | A | INACTIVE |
| KMI Wealth Advisors CRD: 313218 | - | 0 | 1 | - | Unknown |
| KML Financial Services Group, L.L.C. CRD: 129105 | - | 0 | 2 | - | Unknown |
| KMR Capital Investors, Inc. CRD: 14998 | - | 0 | 0 | A | INACTIVE |
| KMR Financial Advisory, Inc. CRD: 286058 | - | 0 | 1 | - | Unknown |
| KMR Wealth Advisory, LLC CRD: 171327 | - | 0 | 1 | - | Unknown |
| KMS Corporate Brokers, Inc. CRD: 5418 | - | 0 | 0 | A | INACTIVE |
| KMS Financial Services, Inc. CRD: 3866 | - | 15 | 0 | D | INACTIVE |
| KMT Wealth Management, LLC CRD: 328911 | - | 0 | 1 | - | Unknown |
| KMU Securities Corporation CRD: 26640 | - | 0 | 0 | A | INACTIVE |
| KNA Capital CRD: 330814 | - | 0 | 2 | - | Unknown |
| Knapp & Associates CRD: 14200 | - | 0 | 0 | A | INACTIVE |
| Knapp Kerner Securities, Inc. CRD: 36953 | - | 0 | 0 | A | INACTIVE |
| KNB Options CRD: 39080 | - | 0 | 0 | A | INACTIVE |
| KNBT Securities, Inc. CRD: 115372 | - | 2 | 0 | B | INACTIVE |
| Knecht Capital Management, LLC CRD: 319100 | - | 0 | 1 | - | Unknown |
| Knepp Financial Group, LLC CRD: 122381 | - | 0 | 0 | - | Unknown |
| KNG Securities USA Inc CRD: 335822 | NY | 0 | 2 | A | Active |
| Knibbe Financial Group, Inc. CRD: 14436 | - | 0 | 0 | A | INACTIVE |
| Knickerbocker Advisors Inc. CRD: 118553 | - | 0 | 0 | - | Unknown |
| Knickerbocker Securities, Inc. CRD: 22992 | - | 0 | 0 | A | INACTIVE |
| Knight & Collins Equities, Incorporated CRD: 13959 | - | 0 | 0 | A | INACTIVE |
| Knight & Mellerup, Inc. CRD: 14421 | - | 0 | 0 | A | INACTIVE |
| Knight and Company Wealth Advisors, LLC CRD: 171840 | - | 0 | 3 | - | Unknown |
| Knight Bondpoint, Inc. CRD: 102580 | - | 0 | 0 | A | INACTIVE |
| Knight Capital Americas, L.P. CRD: 38599 | - | 30 | 0 | F | INACTIVE |
| Knight Capital Markets LLC CRD: 38379 | - | 10 | 0 | D | INACTIVE |
| Knight Direct LLC CRD: 135924 | - | 2 | 0 | B | INACTIVE |
| Knight Execution Partners LLC CRD: 104228 | - | 0 | 0 | A | INACTIVE |
| Knight Family Wealth CRD: 309475 | - | 0 | 3 | - | Unknown |
| Knight Financial Investments CRD: 268799 | - | 0 | 2 | - | Unknown |
| Knight Financial Products LLC CRD: 37791 | - | 10 | 0 | D | INACTIVE |
| Knight Investment Planning, LLC CRD: 130445 | - | 0 | 2 | - | Unknown |
| Knight Libertas LLC CRD: 124790 | - | 5 | 0 | C | INACTIVE |
| Knight Nguyen Investments CRD: 198517 | - | 0 | 0 | - | Unknown |
| Knight of California LLC CRD: 284398 | - | 0 | 1 | - | Unknown |
| Knight Securities Corporation CRD: 8504 | - | 0 | 0 | A | INACTIVE |
| Knight Strategic Investment Advising LLC CRD: 342165 | - | 0 | 1 | - | Unknown |
| Knight Vinke Asset Management LLC CRD: 128138 | - | 0 | 0 | - | Unknown |
| Knight Vision Capital LLC CRD: 338333 | - | 0 | 1 | - | Unknown |
| Knight's Bridge Capital Management, L.P. CRD: 163091 | - | 0 | 0 | - | Unknown |
| Knight, Daniel J. CRD: 30398 | - | 0 | 0 | A | INACTIVE |
| Knight, David CRD: 153419 | - | 0 | 0 | - | Unknown |
| Knighthead Capital Management, LLC CRD: 157483 | - | 0 | 1 | - | Unknown |
| Knights II & Associates, LLC CRD: 111734 | - | 0 | 0 | - | Unknown |
| Knights of Columbus Asset Advisors LLC CRD: 174129 | - | 0 | 222 | - | Unknown |
| Knightsbridge Advisers LLC CRD: 111043 | - | 0 | 1 | - | Unknown |
| Knightsbridge Advisors, Inc. CRD: 117334 | - | 0 | 2 | - | Unknown |