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 |
|---|---|---|---|---|---|
| L Catterton CRD: 157428 | - | 0 | 1 | - | Unknown |
| L Catterton Asia CRD: 162692 | - | 0 | 0 | - | Unknown |
| L Catterton Europe CRD: 162124 | - | 0 | 0 | - | Unknown |
| L M Franks Capital CRD: 293434 | - | 0 | 1 | - | Unknown |
| L Squared Capital Partners CRD: 288509 | - | 0 | 1 | - | Unknown |
| L Squared Wealth Management CRD: 170468 | - | 0 | 1 | - | Unknown |
| L T Securities, Inc. CRD: 13505 | - | 0 | 0 | A | INACTIVE |
| L&G - Asset Management, America CRD: 149156 | - | 0 | 1 | - | Unknown |
| L&L Financial Services, LLP CRD: 116243 | - | 0 | 6 | - | Unknown |
| L&L Partners Wealth Management, LLC CRD: 140077 | - | 0 | 2 | - | Unknown |
| L&M Financial Services CRD: 26247 | - | 1 | 0 | B | INACTIVE |
| L&N Investment Company, L.P. CRD: 17786 | - | 0 | 0 | A | INACTIVE |
| L&P Investment Services Ltd CRD: 147535 | - | 0 | 0 | - | Unknown |
| L&R Capital Limited CRD: 312700 | - | 0 | 0 | - | Unknown |
| L&S Investment Advisors, LLC CRD: 285002 | - | 0 | 1 | - | Unknown |
| L&S Private Wealth, LLC CRD: 339946 | - | 0 | 1 | - | Unknown |
| L'argent Capital International CRD: 16600 | - | 0 | 0 | A | INACTIVE |
| L'attitude Management CRD: 312255 | - | 0 | 1 | - | Unknown |
| L. Anderson and Co. CRD: 16603 | - | 0 | 0 | A | INACTIVE |
| L. B. Eddy CRD: 130483 | - | 0 | 2 | - | Unknown |
| L. B. Fisher & Company CRD: 7306 | TX | 0 | 2 | A | Active |
| L. C. Bhandari & Co. CRD: 158831 | - | 0 | 1 | - | Unknown |
| L. Cooper Investments CRD: 110059 | - | 0 | 1 | - | Unknown |
| L. Dwight Searcy CRD: 16385 | - | 1 | 0 | B | INACTIVE |
| L. F. Rothschild & Co. Incorporated CRD: 501 | - | 0 | 0 | A | INACTIVE |
| L. H. Alton & Company CRD: 15682 | - | 9 | 0 | D | INACTIVE |
| L. J. Kaufman & Co., Inc. CRD: 35542 | - | 0 | 0 | A | INACTIVE |
| L. Jane Heist Wealth Management, Inc. CRD: 152785 | - | 0 | 2 | - | Unknown |
| L. K. Benson & Company, P.C. CRD: 107908 | - | 0 | 2 | - | Unknown |
| L. L. Fane & Co., Inc. CRD: 502 | - | 0 | 0 | A | INACTIVE |
| L. M. Dickinson & Associates, Inc. CRD: 14457 | - | 0 | 0 | A | INACTIVE |
| L. ROY Papp & Associates, LLP CRD: 105130 | - | 0 | 5 | - | Unknown |
| L.A. Boykin & Associates, Inc. CRD: 15668 | - | 0 | 0 | A | INACTIVE |
| L.A. Burton & Associates, Inc. CRD: 117893 | - | 0 | 0 | - | Unknown |
| L.A. Ferrelli & Co. CRD: 44260 | - | 0 | 0 | A | INACTIVE |
| L.B. Saks, Inc. CRD: 34070 | - | 0 | 0 | A | INACTIVE |
| L.C. Wegard & Co., Inc. CRD: 3722 | - | 0 | 0 | A | INACTIVE |
| L.C.L. Securities, Inc. CRD: 14366 | - | 0 | 0 | A | INACTIVE |
| L.D. Moore & Co, Inc. CRD: 16316 | - | 0 | 0 | A | INACTIVE |
| L.E. Haefner Enterprises, Inc. CRD: 148321 | - | 0 | 0 | - | Unknown |
| L.E. Peterson and Company CRD: 13157 | - | 0 | 0 | A | INACTIVE |
| L.E. Smith & Associates, Inc. CRD: 120381 | - | 0 | 0 | - | Unknown |
| L.F. Abbott Securities, Inc. CRD: 10457 | - | 0 | 0 | A | INACTIVE |
| L.F. Howard Associates Inc CRD: 109096 | - | 0 | 2 | - | Unknown |
| L.F. Rothschild Mortgage Capital Corporation CRD: 19716 | - | 0 | 0 | A | INACTIVE |
| L.F. Thompson & Company CRD: 21820 | - | 0 | 0 | A | INACTIVE |
| L.G. Smith Financial Services CRD: 135994 | - | 0 | 2 | - | Unknown |
| L.H. Friend, Weinress, Frankson & Presson, LLC CRD: 14152 | - | 9 | 0 | D | INACTIVE |
| L.J. Brey, Inc. CRD: 113996 | - | 0 | 2 | - | Unknown |
| L.J. Hart and Company CRD: 28867 | MO | 4 | 4 | B | Active |