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 |
|---|---|---|---|---|---|
| Kolinsky Wealth Management, LLC CRD: 153763 | - | 0 | 0 | - | Unknown |
| Koll Bren Schreiber Realty Advisors, Inc. CRD: 108568 | - | 0 | 0 | - | Unknown |
| Kollar Wealth Advisors, LLC CRD: 152243 | - | 0 | 1 | - | Unknown |
| Koller Capital LLC CRD: 313498 | - | 0 | 2 | - | Unknown |
| Kolman Investor Coaching CRD: 138160 | - | 0 | 0 | - | Unknown |
| Kolo Capital CRD: 313683 | - | 0 | 1 | - | Unknown |
| Koltai & Company Advisors, LLC CRD: 290380 | - | 0 | 1 | - | Unknown |
| KOM Financial Planning CRD: 226528 | - | 0 | 0 | - | Unknown |
| KOM Wealth Management Group, LLC CRD: 142682 | - | 0 | 1 | - | Unknown |
| Komet Asset Management CRD: 114930 | - | 0 | 0 | - | Unknown |
| Komich Capital Advisors CRD: 315279 | - | 0 | 1 | - | Unknown |
| Kominz Company Securities, Inc. CRD: 18001 | - | 0 | 0 | A | INACTIVE |
| Kominz Company, Ltd. CRD: 13962 | - | 0 | 0 | A | INACTIVE |
| Kommon Wealth, LLC CRD: 337483 | - | 0 | 1 | - | Unknown |
| Komo Capital LLP CRD: 338074 | - | 0 | 0 | - | Unknown |
| Komons Financial LLC CRD: 302087 | - | 0 | 1 | - | Unknown |
| Komorebi Global CRD: 310437 | - | 0 | 1 | - | Unknown |
| Kompass Financial Advisors, Inc. CRD: 135401 | - | 0 | 2 | - | Unknown |
| Kompass Kapital Advisors, LLC CRD: 335041 | - | 0 | 1 | - | Unknown |
| Konark Asset Management LLC CRD: 281647 | - | 0 | 0 | - | Unknown |
| Kondo Wealth Advisors, Inc CRD: 175347 | - | 0 | 1 | - | Unknown |
| Kondracki Advisory, LLC CRD: 165649 | - | 0 | 1 | - | Unknown |
| Kondracki Group Inc. CRD: 287969 | - | 0 | 0 | - | Unknown |
| Konektis Capital CRD: 327997 | - | 0 | 1 | - | Unknown |
| Kong, Samuel K CRD: 135309 | - | 0 | 0 | A | INACTIVE |
| Konicek Investment Advisory CRD: 127192 | - | 0 | 0 | - | Unknown |
| Konnect Health and Wealth CRD: 166933 | - | 0 | 1 | - | Unknown |
| Konsler Securities, Inc. CRD: 31417 | - | 0 | 0 | A | INACTIVE |
| Konstant Capital LLC CRD: 285230 | - | 0 | 0 | - | Unknown |
| Kontiki Capital Management (HK) Limited CRD: 172145 | - | 0 | 0 | - | Unknown |
| Kontiki Capital Management (Switzerland) Limited CRD: 324588 | - | 0 | 0 | - | Unknown |
| Konvergent Wealth Partners CRD: 325111 | - | 0 | 0 | - | Unknown |
| Konvoy CRD: 321077 | - | 0 | 1 | - | Unknown |
| Konza Capital Advisors CRD: 113823 | - | 0 | 2 | - | Unknown |
| Konza Global Wealth Group CRD: 331692 | - | 0 | 2 | - | Unknown |
| Koob Wealth Management, LLC CRD: 154830 | - | 0 | 1 | - | Unknown |
| Kooman & Associates CRD: 322163 | - | 0 | 5 | - | Unknown |
| Koon Financial Planning & Consulting/KFP&C CRD: 126051 | - | 0 | 1 | - | Unknown |
| Koondel, IRA Sturat CRD: 33030 | - | 0 | 0 | A | INACTIVE |
| Kopentech Capital Markets LLC CRD: 299808 | NY | 0 | 3 | A | Active |
| Kopernik Global Investors, LLC CRD: 168625 | - | 0 | 1 | - | Unknown |
| Kopfer Financial Services, Inc. CRD: 16684 | - | 0 | 0 | A | INACTIVE |
| Kopion Asset Management, LLC CRD: 152693 | - | 0 | 1 | - | Unknown |
| Kopis Capital Management, LLC CRD: 168234 | - | 0 | 0 | - | Unknown |
| Kopka Financial, LLC CRD: 293234 | - | 0 | 1 | - | Unknown |
| Kopkin Capital Management, LLC CRD: 310851 | - | 0 | 1 | - | Unknown |
| Koplan & Associates CRD: 143042 | - | 0 | 1 | - | Unknown |
| Kopman Investment Advisory CRD: 157598 | - | 0 | 0 | - | Unknown |
| Kopp Financial CRD: 169118 | - | 0 | 1 | - | Unknown |
| Kopp Investment Advisors CRD: 107010 | - | 0 | 0 | - | Unknown |