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 |
|---|---|---|---|---|---|
| Koch Capital Management LLC CRD: 148575 | - | 0 | 1 | - | Unknown |
| Koch Financial Partners, LLC CRD: 153400 | - | 0 | 0 | - | Unknown |
| Koch Securities Corporation CRD: 38002 | - | 0 | 0 | A | INACTIVE |
| Kochcapital CRD: 21038 | - | 0 | 0 | A | INACTIVE |
| Kochevar Financial Planning, LLC CRD: 160468 | - | 0 | 1 | - | Unknown |
| Koda Capital Management LLC CRD: 341421 | - | 0 | 1 | - | Unknown |
| Koda Wealth Management CRD: 325700 | - | 0 | 1 | - | Unknown |
| Kodai Capital Management LP CRD: 328086 | - | 0 | 0 | - | Unknown |
| Kodak Brothers Capital Management, LLC CRD: 174138 | - | 0 | 1 | - | Unknown |
| Kodem Vector GP LLC CRD: 299945 | - | 0 | 0 | - | Unknown |
| Kodiak Capital Advisors LLC CRD: 174819 | - | 0 | 1 | - | Unknown |
| Kodiak Capital Group LLC CRD: 342815 | - | 0 | 2 | - | Unknown |
| Kodiak Investment Management LLC CRD: 152925 | - | 0 | 1 | - | Unknown |
| Kodiak Securities Incorporated CRD: 14181 | - | 0 | 0 | A | INACTIVE |
| Kodiak Venture Partners CRD: 163120 | - | 0 | 0 | - | Unknown |
| Kodo Capital Management, LLC CRD: 339048 | - | 0 | 1 | - | Unknown |
| Koehler Asset Management CRD: 340322 | - | 0 | 1 | - | Unknown |
| Koehler Financial Services, Inc. CRD: 123092 | - | 0 | 1 | - | Unknown |
| Koehler Financial, LLC CRD: 103420 | MI | 0 | 2 | A | Active |
| Koenig Investment Advisory, LLC CRD: 117098 | - | 0 | 0 | - | Unknown |
| Koenig Investment Advisory, LLC CRD: 311422 | - | 0 | 1 | - | Unknown |
| Koffler & Company CRD: 44267 | - | 0 | 0 | A | INACTIVE |
| Koger Securities, Inc. CRD: 10390 | - | 0 | 0 | A | INACTIVE |
| KOH Capital Management, LLC CRD: 301507 | - | 0 | 0 | - | Unknown |
| Kohala Capital Partners, LLC CRD: 158098 | - | 0 | 0 | - | Unknown |
| Kohfounders CRD: 174882 | - | 0 | 1 | - | Unknown |
| Kohlberg & Company CRD: 160745 | - | 0 | 1 | - | Unknown |
| Kohlberg Kravis Roberts & Co. L.P. CRD: 144533 | - | 0 | 1 | - | Unknown |
| Kohler Capital Management, LLC CRD: 296601 | - | 0 | 0 | - | Unknown |
| Kohler Capital Management, LLC CRD: 315543 | - | 0 | 1 | - | Unknown |
| Kohlhepp Investment Advisors, Ltd. CRD: 113989 | - | 0 | 1 | - | Unknown |
| Kohli Financial Group, LLC CRD: 156283 | - | 0 | 0 | - | Unknown |
| Kohmann Bosshard Financial Services, LLC. CRD: 138851 | - | 0 | 1 | - | Unknown |
| Kohn, Hebert & Associates, Ltd. CRD: 31084 | - | 0 | 0 | A | INACTIVE |
| Kohr Investments CRD: 305796 | - | 0 | 2 | - | Unknown |
| Kohutek and Company, PC CRD: 334618 | - | 0 | 1 | - | Unknown |
| KOI Portfolio Management, LLC CRD: 310421 | - | 0 | 1 | - | Unknown |
| Koin Capital Inc CRD: 315355 | - | 0 | 1 | - | Unknown |
| Koinonia Financial CRD: 283945 | - | 0 | 0 | - | Unknown |
| Koinonia Financial CRD: 312136 | - | 0 | 1 | - | Unknown |
| Koios Private Family Offices, LLC CRD: 338355 | - | 0 | 1 | - | Unknown |
| Kokua Capital Management CRD: 168439 | - | 0 | 2 | - | Unknown |
| Kokua Capital Management, LLC CRD: 284074 | - | 0 | 0 | - | Unknown |
| Kokusai America Incorporated CRD: 21273 | - | 0 | 0 | A | INACTIVE |
| Kolash Wealth Strategies, LLC CRD: 158921 | - | 0 | 1 | - | Unknown |
| Kolb & Company CRD: 6272 | - | 0 | 0 | A | INACTIVE |
| Kolb Wealth Management, LLC CRD: 339325 | - | 0 | 1 | - | Unknown |
| Kolber, Mark Stephen CRD: 123935 | - | 0 | 0 | A | INACTIVE |
| Koldenhoven Financial, LLC CRD: 174570 | - | 0 | 0 | - | Unknown |
| Koleda Wealth Planners LLC CRD: 311993 | - | 0 | 0 | - | Unknown |