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 |
|---|---|---|---|---|---|
| KV Services II Limited CRD: 151518 | - | 0 | 0 | - | Unknown |
| KV Services Limited CRD: 128130 | - | 0 | 0 | - | Unknown |
| Kvam International II Ltd. CRD: 151815 | - | 0 | 0 | - | Unknown |
| Kvasir Technologies Limited CRD: 314285 | - | 0 | 0 | - | Unknown |
| KVB Capital LLC CRD: 123489 | - | 0 | 0 | - | Unknown |
| KVG Investments LLC CRD: 322092 | - | 0 | 0 | - | Unknown |
| KVK Global Strategies LLC CRD: 277128 | - | 0 | 0 | - | Unknown |
| KVP Capital Advisors, LP CRD: 174401 | - | 0 | 0 | - | Unknown |
| KW Investment Management Ltd. CRD: 171286 | - | 0 | 0 | - | Unknown |
| KW Securities Corporation CRD: 8237 | NY | 3 | 2 | B | Active |
| KW Wealth Management LLC CRD: 298466 | - | 0 | 1 | - | Unknown |
| Kwaish Management, LLC CRD: 315938 | - | 0 | 1 | - | Unknown |
| KWB Wealth CRD: 300921 | - | 0 | 2 | - | Unknown |
| KWK Management LLC CRD: 131097 | - | 0 | 1 | - | Unknown |
| KWL Capital Management, LLC CRD: 168396 | - | 0 | 1 | - | Unknown |
| KWM Financial LLC CRD: 288528 | - | 0 | 1 | - | Unknown |
| KWM Partners LLC CRD: 334428 | - | 0 | 1 | - | Unknown |
| KWM Securities LLC CRD: 327258 | TX | 0 | 2 | A | Active |
| Kwma CRD: 319076 | - | 0 | 1 | - | Unknown |
| KWS Advisory Group, LLC CRD: 309184 | - | 0 | 3 | - | Unknown |
| KWS Associates, Inc. CRD: 28264 | - | 3 | 0 | C | INACTIVE |
| KWS Financial Group, LLC CRD: 282806 | - | 0 | 0 | - | Unknown |
| Kyarsip Financial Advisors LLC CRD: 128178 | - | 0 | 1 | - | Unknown |
| Kyber Knight Capital Management Company, LLC CRD: 320756 | - | 0 | 1 | - | Unknown |
| Kyber Management LLC CRD: 336286 | - | 0 | 1 | - | Unknown |
| Kybora Capital LLC CRD: 323859 | NJ | 0 | 2 | A | Active |
| Kydari Ventures LLC CRD: 321157 | - | 0 | 0 | - | Unknown |
| Kyde Capital Strategies LLC CRD: 130150 | - | 0 | 0 | - | Unknown |
| Kyle Financial Services CRD: 118573 | - | 0 | 0 | - | Unknown |
| Kyle S. Scott Financial Planning, Inc. CRD: 286364 | - | 0 | 1 | - | Unknown |
| Kyleshill Financial Planning CRD: 143604 | - | 0 | 2 | - | Unknown |
| Kylin Management LLC CRD: 160503 | - | 0 | 0 | - | Unknown |
| Kyma Capital Limited CRD: 298877 | - | 0 | 0 | - | Unknown |
| Kymatic Advisors LLC CRD: 336458 | - | 0 | 0 | - | Unknown |
| Kynam Capital Management, LP CRD: 314368 | - | 0 | 1 | - | Unknown |
| Kynance Cove Capital LLP CRD: 341728 | - | 0 | 0 | - | Unknown |
| Kyndle Capital Partners LP CRD: 318199 | - | 0 | 0 | - | Unknown |
| Kynikos Advisors LLC CRD: 283768 | - | 0 | 0 | - | Unknown |
| KYO Asset Management, LLC CRD: 331281 | - | 0 | 1 | - | Unknown |
| Kyobo Life Asset Management (America) Co., Ltd. CRD: 174341 | - | 0 | 1 | - | Unknown |
| Kyria Capital Management, LP CRD: 171973 | - | 0 | 0 | - | Unknown |
| Kyso Financial CRD: 283171 | - | 0 | 1 | - | Unknown |
| Kyson & Co CRD: 37273 | - | 1 | 0 | B | INACTIVE |
| Kyur, Inc. CRD: 284721 | - | 0 | 1 | - | Unknown |
| L & B Realty Advisors, LLP CRD: 136654 | - | 0 | 1 | - | Unknown |
| L & M Wealth Management and Retirement Solutions, … CRD: 151669 | - | 0 | 2 | - | Unknown |
| L & R Trading L.L.C. CRD: 45822 | - | 0 | 0 | A | INACTIVE |
| L & S Advisors, Inc CRD: 140923 | - | 0 | 5 | - | Unknown |
| L 1 Global Wealth LLC CRD: 337213 | - | 0 | 1 | - | Unknown |
| L Capital, LLC CRD: 277098 | - | 0 | 1 | - | Unknown |