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 |
|---|---|---|---|---|---|
| Kopstein, VAN Alen, Nash & Co. Inc. CRD: 17984 | - | 0 | 0 | A | INACTIVE |
| Kora Management LP CRD: 172534 | - | 0 | 1 | - | Unknown |
| Korbitz Financial Planning LLC CRD: 137361 | - | 0 | 1 | - | Unknown |
| Kore Advisors LP CRD: 159663 | - | 0 | 1 | - | Unknown |
| Kore Private Wealth, LLC CRD: 294547 | - | 0 | 0 | - | Unknown |
| Korea Associated Securities Inc. CRD: 7526 | - | 0 | 0 | A | INACTIVE |
| Korea Investment & Securities America, Inc. CRD: 104158 | NY | 0 | 2 | A | Active |
| Korea Investment Global Green Energy GP CRD: 324944 | - | 0 | 0 | - | Unknown |
| Korea Investment Management Co., Ltd. CRD: 173361 | - | 0 | 0 | - | Unknown |
| Korea Investment Value Asset Management CRD: 173365 | - | 0 | 0 | - | Unknown |
| Korefusion Capital LLC CRD: 311889 | CA | 0 | 2 | A | Active |
| Korelya Capital CRD: 324370 | - | 0 | 0 | - | Unknown |
| Korhorn Financial Group CRD: 128606 | - | 0 | 18 | - | Unknown |
| Kori Capital, Inc. CRD: 304779 | - | 0 | 0 | - | Unknown |
| Kormendi, BYRD Brothers, Inc. CRD: 2470 | - | 0 | 0 | A | INACTIVE |
| Korn, Womack, Stern and Associates, Inc. CRD: 16933 | - | 0 | 0 | A | INACTIVE |
| Kornerstone, Inc. CRD: 170687 | - | 0 | 0 | - | Unknown |
| Kornitzer Capital Management, Inc. CRD: 111087 | - | 0 | 5 | - | Unknown |
| Korr Acquisitions CRD: 242791 | - | 0 | 0 | - | Unknown |
| Kortenkamp, Joshua F CRD: 322425 | - | 0 | 1 | - | Unknown |
| Kortright Capital Partners LP CRD: 168487 | - | 0 | 0 | - | Unknown |
| Koru Management, LLC CRD: 340398 | - | 0 | 1 | - | Unknown |
| Korving & Company LLC CRD: 152095 | - | 0 | 1 | - | Unknown |
| Kory Associates Limited Partnership CRD: 34079 | - | 0 | 0 | A | INACTIVE |
| Korzen Asset Management Ltd CRD: 340062 | - | 0 | 1 | - | Unknown |
| Korzo Financial LLC CRD: 323459 | - | 0 | 0 | - | Unknown |
| Kosack Capital, LLC CRD: 305939 | - | 0 | 0 | - | Unknown |
| Kosack Capital, LLC CRD: 330559 | - | 0 | 0 | - | Unknown |
| Kosler & Company CRD: 226610 | - | 0 | 0 | - | Unknown |
| Kosmin Wealth Management CRD: 298138 | - | 0 | 1 | - | Unknown |
| Kosmin, Miles Douglas CRD: 15370 | - | 0 | 0 | A | INACTIVE |
| Kosmos Capital Management, LLC CRD: 293926 | - | 0 | 0 | - | Unknown |
| Kosmos Management LLC CRD: 164712 | - | 0 | 1 | - | Unknown |
| Koss-Olinger Consulting, LLC. CRD: 111855 | - | 0 | 8 | - | Unknown |
| Koster, Todd a CRD: 34610 | - | 0 | 0 | A | INACTIVE |
| Kostrzewski, Mark Benedict CRD: 159950 | - | 0 | 2 | - | Unknown |
| Kota Global Securities Inc. CRD: 28137 | - | 2 | 0 | B | INACTIVE |
| Kotak Alternate Asset Managers Limited CRD: 317952 | - | 0 | 0 | - | Unknown |
| Kotak Mahindra (International) Limited CRD: 163799 | - | 0 | 0 | - | Unknown |
| Kotak Mahindra (UK) Limited CRD: 138885 | - | 0 | 0 | - | Unknown |
| Kotak Mahindra Asset Management (Singapore) PTE. L… CRD: 286032 | - | 0 | 0 | - | Unknown |
| Kotak Mahindra, Inc. CRD: 47251 | NY | 0 | 2 | A | Active |
| Kotarba Partners & Co, LLC CRD: 171685 | - | 0 | 1 | - | Unknown |
| Kotel Investment Management LLC CRD: 325279 | - | 0 | 0 | - | Unknown |
| Kotys Wealth Professionals CRD: 168156 | - | 0 | 2 | - | Unknown |
| Koury Capital Management, LLC CRD: 142477 | - | 0 | 1 | - | Unknown |
| KOV Financial Advisors, LLC CRD: 108734 | - | 0 | 0 | - | Unknown |
| Kovack Advisors, Inc. CRD: 140808 | - | 0 | 269 | - | Unknown |
| Kovack International Advisors Inc. CRD: 170450 | - | 0 | 0 | - | Unknown |
| Kovack Securities Inc. CRD: 44848 | FL | 10 | 228 | B | Active |