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 |
|---|---|---|---|---|---|
| Laffer, Warren and Co., Inc. CRD: 29843 | - | 0 | 0 | A | INACTIVE |
| Lafirma Asset Services S.C. CRD: 307397 | - | 0 | 0 | - | Unknown |
| Lafise Global Advisors LLC CRD: 331244 | - | 0 | 1 | - | Unknown |
| Lafise Securities LLC CRD: 115624 | FL | 2 | 2 | B | Active |
| Lafitte Capital Management LP CRD: 134573 | - | 0 | 0 | - | Unknown |
| Laflam and Haggerty Investment Advisers Corp. CRD: 129389 | - | 0 | 3 | - | Unknown |
| Lafleur & Godfrey Private Wealth Management CRD: 168831 | - | 0 | 3 | - | Unknown |
| Lafosse Asset Management CRD: 135688 | - | 0 | 0 | - | Unknown |
| Lager & Company, Inc. CRD: 115213 | - | 0 | 2 | - | Unknown |
| Lago Asset Management CRD: 305631 | - | 0 | 1 | - | Unknown |
| Lagoda Investment Management, L.P. CRD: 170961 | - | 0 | 1 | - | Unknown |
| Lagoon Advisory Partners, LLC CRD: 308617 | MN | 0 | 3 | A | Active |
| Lagos Wealth Advisors CRD: 117551 | - | 0 | 2 | - | Unknown |
| Lagrande Global LLC CRD: 170479 | - | 0 | 1 | - | Unknown |
| Lagrangian Capital LLC CRD: 341057 | - | 0 | 1 | - | Unknown |
| Laguna BAY Fund 1 PTY Ltd CRD: 316886 | - | 0 | 0 | - | Unknown |
| Laguna BAY Fund 2 PTY Ltd CRD: 316888 | - | 0 | 0 | - | Unknown |
| Laguna Coast Capital CRD: 316171 | - | 0 | 1 | - | Unknown |
| Laguna Financial Advisory CRD: 149757 | - | 0 | 1 | - | Unknown |
| Laguna Financial Group, Inc. CRD: 151691 | - | 0 | 0 | - | Unknown |
| Laguna Investment Funds, LLC CRD: 323585 | - | 0 | 1 | - | Unknown |
| Laguna Investment Services CRD: 146442 | - | 0 | 1 | - | Unknown |
| Laguna Niguel Summit Wealth Management, LLC CRD: 283837 | - | 0 | 1 | - | Unknown |
| Laguna Pacific Advisors CRD: 317200 | - | 0 | 0 | - | Unknown |
| Laguna Private Capital CRD: 340390 | - | 0 | 2 | - | Unknown |
| Laguna Securities, Inc. CRD: 37547 | - | 0 | 0 | A | INACTIVE |
| Laguna Wealth Advisors, LLC CRD: 167847 | - | 0 | 5 | - | Unknown |
| Lagunitas Asset Management, LLC CRD: 166781 | - | 0 | 0 | - | Unknown |
| Lahey Investment LLC CRD: 153750 | - | 0 | 0 | - | Unknown |
| Lahontan Capital LLC CRD: 341420 | - | 0 | 2 | - | Unknown |
| LAI Capital Management LLC CRD: 128462 | - | 0 | 1 | - | Unknown |
| Laidlaw & Company (UK) Ltd. CRD: 119037 | - | 14 | 4 | C | Active |
| Laidlaw Global Securities, Inc. CRD: 19018 | - | 13 | 0 | D | INACTIVE |
| Laidlaw Group, LLC CRD: 108116 | - | 0 | 0 | - | Unknown |
| Laidlaw Wealth Management LLC CRD: 150040 | - | 0 | 2 | - | Unknown |
| Lail Capital CRD: 312853 | - | 0 | 0 | - | Unknown |
| Lailaps Capital, L.L.C. CRD: 281628 | - | 0 | 2 | - | Unknown |
| Laine Financial Group, Inc. CRD: 124671 | - | 0 | 0 | - | Unknown |
| Laird - Altman Holdings LLC CRD: 140391 | - | 0 | 2 | - | Unknown |
| Laird Expeditions, LLC CRD: 326492 | - | 0 | 1 | - | Unknown |
| Laird Group Partners LP CRD: 330491 | - | 0 | 0 | - | Unknown |
| Laird Landon Consulting, Inc. CRD: 156248 | - | 0 | 0 | - | Unknown |
| Laird, Richard H. CRD: 14543 | - | 0 | 0 | A | INACTIVE |
| Laiyeplus Limited CRD: 338721 | - | 0 | 1 | - | Unknown |
| Lajala & Associates CRD: 134215 | - | 0 | 1 | - | Unknown |
| Lake & Associates CRD: 21044 | - | 0 | 0 | A | INACTIVE |
| Lake Advisory Group CRD: 268824 | - | 0 | 0 | - | Unknown |
| Lake Austin Advisors CRD: 166968 | - | 0 | 0 | - | Unknown |
| Lake Avenue Financial LLC CRD: 315746 | - | 0 | 5 | - | Unknown |
| Lake Avenue Financial, LLC CRD: 168946 | - | 0 | 0 | - | Unknown |