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 |
|---|---|---|---|---|---|
| Kovacs Asset Management LLC CRD: 311081 | - | 0 | 1 | - | Unknown |
| Kovalcik & Geraghty Wealth Partners LLP CRD: 159811 | - | 0 | 3 | - | Unknown |
| Kovell Caldwell LLC CRD: 104341 | - | 0 | 0 | A | INACTIVE |
| Kovell Trading LLC CRD: 40824 | - | 0 | 0 | A | INACTIVE |
| Kovell, Robert William S.P. CRD: 130149 | - | 0 | 0 | A | INACTIVE |
| Kovitz Securities, LLC CRD: 129878 | - | 2 | 0 | B | INACTIVE |
| Kowal Investment Group, LLC CRD: 113169 | - | 0 | 0 | - | Unknown |
| Kowalik and Associates LLC CRD: 130787 | - | 0 | 0 | - | Unknown |
| Kowalski Financial Inc. CRD: 300424 | - | 0 | 1 | - | Unknown |
| Koyote Trading LLC CRD: 149672 | - | 0 | 0 | A | INACTIVE |
| Kozak & Tripp Private Asset Management, Inc. CRD: 298353 | - | 0 | 1 | - | Unknown |
| Kozy Trading LLC CRD: 101760 | - | 0 | 0 | A | INACTIVE |
| KP Management LLC CRD: 161307 | - | 0 | 1 | - | Unknown |
| KP7 Investors LLC CRD: 312453 | - | 0 | 1 | - | Unknown |
| KPB Investment Advisors LLC CRD: 167934 | - | 0 | 0 | - | Unknown |
| KPC Financial Solutions, LLC CRD: 317107 | - | 0 | 2 | - | Unknown |
| KPC Terrapin Group LLC CRD: 285526 | - | 0 | 1 | - | Unknown |
| KPCB China CRD: 161470 | - | 0 | 0 | - | Unknown |
| KPD Securities Corp. CRD: 18254 | - | 0 | 0 | A | INACTIVE |
| KPG Capital Partners, LLC CRD: 165392 | UT | 0 | 2 | A | Active |
| KPG Ventures CRD: 163405 | - | 0 | 0 | - | Unknown |
| Kplans Investment Services, Inc. CRD: 135704 | - | 0 | 0 | - | Unknown |
| KPM Financial, LLC CRD: 171012 | - | 0 | 0 | - | Unknown |
| KPMG Baymark Capital L.L.C. CRD: 38163 | - | 0 | 0 | A | INACTIVE |
| KPMG Corporate Finance LLC CRD: 103973 | IL | 0 | 12 | A | Active |
| Kpoint Capital LLC CRD: 333024 | - | 0 | 1 | - | Unknown |
| KPP Advisory Services LLC CRD: 289507 | - | 0 | 10 | - | Unknown |
| KPS Capital Partners, LP CRD: 157678 | - | 0 | 1 | - | Unknown |
| KQ Wealth Management LLC CRD: 116901 | - | 0 | 3 | - | Unknown |
| KR Capital Advisors LLC CRD: 327549 | - | 0 | 0 | - | Unknown |
| KR Capital LP CRD: 338229 | - | 0 | 1 | - | Unknown |
| KR Securities, LLC CRD: 46152 | NJ | 1 | 2 | B | Active |
| Kraematon Investment Advisors, Inc. CRD: 126869 | - | 0 | 2 | - | Unknown |
| Kraemer Capital Management LLC CRD: 313443 | - | 0 | 1 | - | Unknown |
| Kraft Asset Management, LLC CRD: 119139 | - | 0 | 0 | - | Unknown |
| Kraft Capital CRD: 332355 | - | 0 | 1 | - | Unknown |
| Kraft Financial, LLC CRD: 298875 | - | 0 | 1 | - | Unknown |
| Kraken Adviser LLC CRD: 337920 | - | 0 | 2 | - | Unknown |
| Kraken Securities CRD: 324343 | FL | 0 | 2 | A | Active |
| Kral Financial Advisors, LLC CRD: 138959 | - | 0 | 1 | - | Unknown |
| Krambo Corportion CRD: 6759 | MI | 0 | 2 | A | Active |
| Kramer Asset Management CRD: 116493 | - | 0 | 0 | - | Unknown |
| Kramer Fiduciary Services CRD: 121910 | - | 0 | 1 | - | Unknown |
| Kramer Financial Group CRD: 150807 | - | 0 | 0 | - | Unknown |
| Kramer Investment Advisors, Inc. CRD: 160840 | - | 0 | 1 | - | Unknown |
| Kramer Investment Services, LLC CRD: 169769 | - | 0 | 1 | - | Unknown |
| Kramer VAN Kirk Credit Strategies L.P. CRD: 160656 | - | 0 | 0 | - | Unknown |
| Kramer, Arthur T. CRD: 33836 | - | 0 | 0 | A | INACTIVE |
| Kramer, Roger Samuel CRD: 146355 | - | 0 | 0 | - | Unknown |
| Krammer Financial CRD: 226712 | - | 0 | 1 | - | Unknown |