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.J. Kaufman & Co., Inc. CRD: 24744 | - | 0 | 0 | A | INACTIVE |
| L.M. Bass Securities, Inc. CRD: 22641 | - | 0 | 0 | A | INACTIVE |
| L.M. Davenport, Inc. CRD: 37054 | - | 0 | 0 | A | INACTIVE |
| L.M. Drew & Associates CRD: 16368 | - | 0 | 0 | A | INACTIVE |
| L.M. Kohn & Company CRD: 27913 | OH | 1 | 2 | B | Active |
| L.M. Wood CFP CRD: 107370 | - | 0 | 0 | - | Unknown |
| L.O. Thomas & Co. CRD: 3576 | - | 0 | 0 | A | INACTIVE |
| L.O. Thomas & Co. Inc. CRD: 23657 | NJ | 1 | 2 | B | Active |
| L.P. Littlewood and Associates, Inc. CRD: 14083 | - | 0 | 0 | A | INACTIVE |
| L.P. Securities, Inc. CRD: 13160 | - | 0 | 0 | A | INACTIVE |
| L.R. Pegram Securities Corporation CRD: 15214 | - | 0 | 0 | A | INACTIVE |
| L.S. Cannon Securities Corp. CRD: 20748 | - | 0 | 0 | A | INACTIVE |
| L.T. Derivatives LLC CRD: 134905 | - | 0 | 0 | A | INACTIVE |
| L.T.L. Financial Inc. CRD: 43361 | - | 0 | 0 | A | INACTIVE |
| L.W. Wilson & Co., Inc. CRD: 33101 | - | 0 | 0 | A | INACTIVE |
| L1 Capital Global Inc. CRD: 310223 | - | 0 | 1 | - | Unknown |
| L1 Capital International PTY Ltd CRD: 340623 | - | 0 | 0 | - | Unknown |
| L1 Capital PTY Ltd CRD: 339479 | - | 0 | 0 | - | Unknown |
| L1 Global Manager PTY Ltd CRD: 318064 | - | 0 | 0 | - | Unknown |
| L2 Asset Management, LLC CRD: 172688 | - | 0 | 3 | - | Unknown |
| L2 Limited CRD: 315757 | - | 0 | 0 | - | Unknown |
| L2 Management Company CRD: 322085 | - | 0 | 1 | - | Unknown |
| L2 Point Management LLC CRD: 317924 | - | 0 | 1 | - | Unknown |
| L2 Ventures Management LLC CRD: 313804 | - | 0 | 1 | - | Unknown |
| L3 Capital Advisers, LP CRD: 327093 | - | 0 | 0 | - | Unknown |
| L3 Capital Advisors LLC CRD: 287901 | - | 0 | 0 | - | Unknown |
| L4 Partners, LLC CRD: 134919 | - | 0 | 0 | A | INACTIVE |
| LA Capital Wealth Management CRD: 304845 | - | 0 | 0 | - | Unknown |
| LA Clare Securities, Inc. CRD: 10916 | - | 0 | 0 | A | INACTIVE |
| LA Cumbre Peak Advisors CRD: 312650 | - | 0 | 0 | - | Unknown |
| LA Famiglia CRD: 318343 | - | 0 | 0 | - | Unknown |
| LA Ferla Group LLC CRD: 174993 | - | 0 | 0 | - | Unknown |
| LA Francaise Forum Securities Limited CRD: 150818 | - | 0 | 0 | - | Unknown |
| LA Honda Advisors LLC CRD: 165045 | CA | 0 | 2 | A | Active |
| LA Jolla Asset Management, Inc. CRD: 112327 | - | 0 | 1 | - | Unknown |
| LA Jolla Economics CRD: 119368 | - | 0 | 0 | - | Unknown |
| LA Jolla Holdings, Inc. CRD: 16527 | - | 0 | 0 | A | INACTIVE |
| LA Jolla Institute for Wealth Management CRD: 109340 | - | 0 | 2 | - | Unknown |
| LA Jolla Investment Group Securities, Inc. CRD: 11535 | - | 0 | 0 | A | INACTIVE |
| LA Jolla Securities, Inc. CRD: 8182 | - | 0 | 0 | A | INACTIVE |
| LA Jolla Trading, Inc. CRD: 25390 | - | 0 | 0 | A | INACTIVE |
| LA Loma Capital CRD: 152440 | - | 0 | 1 | - | Unknown |
| LA Mendola Investment Securities, Inc. CRD: 15690 | - | 0 | 0 | A | INACTIVE |
| LA Rocque Trading Group L.L.C. CRD: 37525 | - | 5 | 0 | C | INACTIVE |
| LA Salle Capital Markets LP CRD: 102060 | - | 0 | 0 | A | INACTIVE |
| LA Serpe Asset Management, LLC CRD: 308862 | - | 0 | 0 | - | Unknown |
| LA Vida Financial CRD: 338418 | - | 0 | 1 | - | Unknown |
| LAA Partners CRD: 297870 | - | 0 | 0 | - | Unknown |
| LAB Proptech GP LLC CRD: 314389 | - | 0 | 1 | - | Unknown |
| LAB Quantitative Strategies, LLC CRD: 312409 | - | 0 | 1 | - | Unknown |