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 |
|---|---|---|---|---|---|
| Kukui Tree Capital Management LLC CRD: 330374 | - | 0 | 1 | - | Unknown |
| Kukulkan Advisors LLC CRD: 328469 | - | 0 | 0 | - | Unknown |
| Kula Investments, LLC CRD: 312388 | - | 0 | 0 | - | Unknown |
| Kuleana Capital Management LLC CRD: 287732 | - | 0 | 1 | - | Unknown |
| Kuleana Wealth Advisors CRD: 154028 | - | 0 | 1 | - | Unknown |
| Kuleck Financial Planning CRD: 169907 | - | 0 | 1 | - | Unknown |
| Kuli Capital Management CRD: 154556 | - | 0 | 1 | - | Unknown |
| Kulik & Co. CRD: 2487 | - | 0 | 0 | A | INACTIVE |
| Kulshan Financial Group CRD: 282021 | - | 0 | 0 | - | Unknown |
| Kult Wealth Management Group, LLC CRD: 126740 | - | 0 | 1 | - | Unknown |
| Kultura Capital Management LP CRD: 327510 | - | 0 | 1 | - | Unknown |
| Kuma Capital LLC CRD: 316701 | - | 0 | 0 | - | Unknown |
| Kuma Securities Corporation D/B/a General Trading … CRD: 14501 | - | 0 | 0 | A | INACTIVE |
| Kumar Bapalal Bavishi CRD: 14598 | - | 0 | 0 | A | INACTIVE |
| Kummer Financial Strategies, Inc. CRD: 112603 | - | 0 | 0 | - | Unknown |
| Kummer Financial Strategies, LLC CRD: 290009 | - | 0 | 0 | - | Unknown |
| KUN-LUN Development Corporation CRD: 39283 | - | 0 | 1 | A | INACTIVE |
| Kunath Karren Rinne & Atkin LLC CRD: 104531 | - | 0 | 4 | - | Unknown |
| Kuos Investment II LLC CRD: 289165 | - | 0 | 1 | - | Unknown |
| Kuper, Peter CRD: 287873 | - | 0 | 0 | - | Unknown |
| Kupets, Jeffrey J CRD: 129632 | - | 0 | 0 | A | INACTIVE |
| Kupfer, Engler Securities, Inc. CRD: 20049 | - | 0 | 0 | A | INACTIVE |
| Kuramo Capital Management, LLC CRD: 160614 | - | 0 | 1 | - | Unknown |
| Kure Advisory, LLC CRD: 311320 | - | 0 | 5 | - | Unknown |
| Kureen & Cooper, Inc. CRD: 2488 | - | 0 | 0 | A | INACTIVE |
| Kurfees Capital Management, LLC CRD: 120971 | - | 0 | 3 | - | Unknown |
| Kuriyama & Co LLC CRD: 107053 | - | 0 | 0 | - | Unknown |
| Kurk Financial Securities, Inc. CRD: 23098 | - | 0 | 0 | A | INACTIVE |
| Kurt Oelze, LLC CRD: 132874 | - | 0 | 1 | - | Unknown |
| Kurt Salmon Capital Advisors, LLC CRD: 43783 | GA | 0 | 2 | A | Active |
| Kurtin Financial Advisers, LLC CRD: 115418 | - | 0 | 1 | - | Unknown |
| Kurv Investment Management LLC CRD: 323149 | - | 0 | 2 | - | Unknown |
| Kurz, Morris Edward CRD: 39612 | - | 0 | 0 | A | INACTIVE |
| Kurz-Liebow & Company, Inc. CRD: 496 | - | 0 | 0 | A | INACTIVE |
| Kurzweil Capital Partners, LLC CRD: 162339 | - | 0 | 0 | - | Unknown |
| Kusay Securities Co. CRD: 2490 | - | 0 | 0 | A | INACTIVE |
| Kusske Financial Management, Inc. CRD: 115303 | - | 0 | 0 | - | Unknown |
| Kusske Financial, Inc. CRD: 299967 | - | 0 | 4 | - | Unknown |
| Kutscher Benner Barsness & Stevens, Inc. CRD: 107475 | - | 0 | 1 | - | Unknown |
| Kutumb Investments LLC CRD: 342420 | - | 0 | 1 | - | Unknown |
| Kutz and Company Inc. CRD: 124722 | - | 0 | 1 | - | Unknown |
| Kuvare Asset Management CRD: 317806 | - | 0 | 0 | - | Unknown |
| Kuvari Partners LLP CRD: 286267 | - | 0 | 0 | - | Unknown |
| Kuykendall & Schneider, Inc. CRD: 6506 | TX | 1 | 2 | B | Active |
| Kuyrkendall Capital CRD: 337776 | - | 0 | 1 | - | Unknown |
| KV Asia Capital PTE. Ltd. CRD: 299735 | - | 0 | 0 | - | Unknown |
| KV Execution Services LLC CRD: 42093 | - | 1 | 0 | B | INACTIVE |
| KV Financial Advice LLC CRD: 331462 | - | 0 | 1 | - | Unknown |
| KV Financial Planning CRD: 283271 | - | 0 | 0 | - | Unknown |
| KV Securities, Inc. CRD: 16847 | - | 0 | 0 | A | INACTIVE |