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 |
|---|---|---|---|---|---|
| Andorra Investment Management, Inc. CRD: 150527 | - | 0 | 1 | - | Unknown |
| Andover Advisory Group CRD: 132062 | - | 0 | 2 | - | Unknown |
| Andover Equity Associates CRD: 106254 | - | 0 | 0 | - | Unknown |
| Andover Financial Advisors, LLC CRD: 316740 | - | 0 | 0 | - | Unknown |
| Andover Investments, Inc. CRD: 14213 | - | 0 | 0 | A | INACTIVE |
| Andover Securities Corp CRD: 31321 | - | 0 | 0 | A | INACTIVE |
| Andover Securities, Inc. CRD: 16903 | - | 0 | 0 | A | INACTIVE |
| Andra Capital LLC CRD: 314080 | - | 0 | 1 | - | Unknown |
| Andre Caubarreaux CRD: 117139 | - | 0 | 1 | - | Unknown |
| Andreessen Horowitz CRD: 160489 | - | 0 | 1 | - | Unknown |
| Andresen & Associates Inc CRD: 105733 | - | 0 | 0 | - | Unknown |
| Andress & Company, Inc. CRD: 20683 | - | 0 | 0 | A | INACTIVE |
| Andrew Alen Securities, Inc. CRD: 13839 | - | 0 | 0 | A | INACTIVE |
| Andrew Arroyo Investments, LLC CRD: 152691 | - | 0 | 1 | - | Unknown |
| Andrew C. Roth CRD: 138414 | - | 0 | 0 | - | Unknown |
| Andrew Edgar Mosesian CRD: 133523 | - | 0 | 0 | - | Unknown |
| Andrew G. Castiglione, Inc. CRD: 13073 | - | 0 | 0 | A | INACTIVE |
| Andrew G. LA Patra CRD: 110530 | - | 0 | 0 | - | Unknown |
| Andrew Garrett Inc. CRD: 29931 | NY | 15 | 22 | B | Active |
| Andrew Garrett, Inc. CRD: 36250 | - | 3 | 0 | C | INACTIVE |
| Andrew Hill Investment Advisors, Inc. CRD: 141590 | - | 0 | 2 | - | Unknown |
| Andrew J. Spillios, CFP CRD: 115003 | - | 0 | 1 | - | Unknown |
| Andrew Logullo CRD: 285492 | - | 0 | 0 | - | Unknown |
| Andrew Nelson Financial Services, LLC CRD: 108315 | - | 0 | 0 | - | Unknown |
| Andrew Peck Associates Inc. CRD: 7957 | - | 0 | 0 | A | INACTIVE |
| Andrew R. Nelson CRD: 116043 | - | 0 | 0 | - | Unknown |
| Andrew Soter Investment Consultants CRD: 112803 | - | 0 | 0 | - | Unknown |
| Andrew, Alexander, Wise & Company Incorporated CRD: 37710 | - | 2 | 0 | B | INACTIVE |
| Andrews & Company CRD: 122750 | - | 0 | 0 | - | Unknown |
| Andrews Advisory Associates, LLC CRD: 118957 | - | 0 | 1 | - | Unknown |
| Andrews Investment Management CRD: 290345 | - | 0 | 2 | - | Unknown |
| Andrews Security Corp. CRD: 15445 | - | 0 | 0 | A | INACTIVE |
| Andrews, Bruce I CRD: 33440 | - | 0 | 0 | A | INACTIVE |
| Andrews, Hentges & Associates, Inc. CRD: 28417 | - | 0 | 0 | A | INACTIVE |
| Andrews, Lucia Wealth Management LLC CRD: 130931 | - | 0 | 2 | - | Unknown |
| Andrews, Thomas CRD: 146458 | - | 0 | 0 | - | Unknown |
| Andrey, Douglas CRD: 312183 | - | 0 | 1 | - | Unknown |
| Andrick Securities Corp. CRD: 20945 | - | 0 | 0 | A | INACTIVE |
| Andrie Trading LLC CRD: 101500 | - | 7 | 0 | D | INACTIVE |
| Andron Capital Management Corporation CRD: 119819 | - | 0 | 0 | - | Unknown |
| Andrus Investment Management, Inc. CRD: 119242 | - | 0 | 0 | - | Unknown |
| Andurand Capital Management NEW York LLC CRD: 341258 | - | 0 | 1 | - | Unknown |
| Andvari Associates LLC CRD: 167315 | - | 0 | 1 | - | Unknown |
| Andy Millard Advisory, LLC CRD: 312180 | - | 0 | 1 | - | Unknown |
| ANE, Inc. CRD: 33325 | - | 0 | 0 | A | INACTIVE |
| Anee Partners, L.P. CRD: 33863 | - | 0 | 0 | A | INACTIVE |
| Anelu Capital LLC CRD: 172211 | - | 0 | 0 | - | Unknown |
| Aneuvia Capital CRD: 304904 | - | 0 | 1 | - | Unknown |
| Anew Advisors, LLC CRD: 316462 | - | 0 | 2 | - | Unknown |
| Anfield Advisors, LLC CRD: 167638 | - | 0 | 0 | - | Unknown |