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 |
|---|---|---|---|---|---|
| Kris Lewicki & Associates, LLC CRD: 156536 | - | 0 | 2 | - | Unknown |
| Krishna Portfolio Management CRD: 334486 | - | 0 | 2 | - | Unknown |
| Krishna Wealth Planning CRD: 304613 | - | 0 | 2 | - | Unknown |
| Krishnan Financial LLC CRD: 317465 | - | 0 | 0 | - | Unknown |
| KRISTAL.AI CRD: 341175 | - | 0 | 0 | - | Unknown |
| Kristofer Capital Management, LLC CRD: 173791 | - | 0 | 1 | - | Unknown |
| Krivacs Capital Management, LLC CRD: 131835 | - | 0 | 2 | - | Unknown |
| KRJ Securities CRD: 37887 | - | 0 | 0 | A | INACTIVE |
| KRM Advisory Services CRD: 133779 | - | 0 | 0 | - | Unknown |
| KRM Advisory Services CRD: 319206 | - | 0 | 1 | - | Unknown |
| KRM Capital Inc. CRD: 16295 | - | 0 | 0 | A | INACTIVE |
| KRM Capital Management CRD: 131948 | - | 0 | 0 | - | Unknown |
| KRM Financial Planning & Wealth Management, LLC CRD: 338738 | - | 0 | 1 | - | Unknown |
| KRM Partners LLC CRD: 335310 | - | 0 | 1 | - | Unknown |
| Kroeger Financial Partners CRD: 175113 | - | 0 | 1 | - | Unknown |
| Krohne Capital, LLC CRD: 129553 | - | 0 | 0 | - | Unknown |
| Kroll (Luxembourg) Management Company, S.A.R.L CRD: 317118 | - | 0 | 0 | - | Unknown |
| Kroll Securities LLC CRD: 36927 | IL | 1 | 5 | B | Active |
| Kronauer Corporation CRD: 19766 | - | 0 | 0 | A | INACTIVE |
| Krone Haus Corp. CRD: 13865 | - | 0 | 0 | A | INACTIVE |
| Kronos Investments Limited CRD: 43658 | - | 0 | 0 | A | INACTIVE |
| Kronos Wealth Management CRD: 281729 | - | 0 | 1 | - | Unknown |
| Krony Capital II, LLC CRD: 321051 | - | 0 | 1 | - | Unknown |
| Kroon & Mitchell Asset Management LLC CRD: 168120 | - | 0 | 1 | - | Unknown |
| Krop Walter J. CRD: 123769 | - | 0 | 0 | A | INACTIVE |
| Kropog Financial Group, LLC CRD: 282747 | - | 0 | 1 | - | Unknown |
| Krouse Stureman & Associates, Inc. CRD: 130679 | - | 0 | 1 | - | Unknown |
| Krown Advisory CRD: 342223 | - | 0 | 1 | - | Unknown |
| Krowten Equities CRD: 319504 | - | 0 | 1 | - | Unknown |
| Krozel Capital Management, LLC CRD: 174813 | - | 0 | 1 | - | Unknown |
| KRP Financial Services, LLC CRD: 115251 | - | 0 | 4 | - | Unknown |
| KRPG Advisors, LLC CRD: 284998 | - | 0 | 0 | - | Unknown |
| KRS Capital Management, LLC CRD: 142928 | - | 0 | 1 | - | Unknown |
| KRS TAX & Investments Inc. CRD: 135453 | - | 0 | 1 | - | Unknown |
| Krueger Asset Management, LLC CRD: 335312 | - | 0 | 1 | - | Unknown |
| Krueger Brokerage Inc. CRD: 17719 | - | 0 | 0 | A | INACTIVE |
| Krueger Financial CRD: 113862 | - | 0 | 1 | - | Unknown |
| Krueger Wealth Management, LLC CRD: 149654 | - | 0 | 0 | - | Unknown |
| Krug, Steven M CRD: 117581 | - | 0 | 0 | A | INACTIVE |
| Kruger Wealth Management, Inc. CRD: 290488 | - | 0 | 1 | - | Unknown |
| Krumbein LAW PLLC CRD: 338905 | - | 0 | 2 | - | Unknown |
| Krumrei & Ross, Inc. CRD: 106136 | - | 0 | 0 | - | Unknown |
| Krupp Securities Corporation CRD: 10908 | - | 0 | 0 | A | INACTIVE |
| Kruse Asset Management, LLC CRD: 143204 | - | 0 | 2 | - | Unknown |
| Kruse Capital Management, LLC CRD: 287458 | - | 0 | 0 | - | Unknown |
| Kruse Financial Strategy CRD: 145321 | - | 0 | 1 | - | Unknown |
| Kruseco, Inc. CRD: 22510 | - | 0 | 0 | A | INACTIVE |
| Krusen Capital Management, LLC CRD: 150754 | - | 0 | 1 | - | Unknown |
| Krusen, Vogt & Co. CRD: 10126 | - | 0 | 0 | A | INACTIVE |
| KRV Capital, LP CRD: 283080 | - | 0 | 0 | - | Unknown |