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 |
|---|---|---|---|---|---|
| Lake Beulah Ltd CRD: 134653 | - | 0 | 0 | A | INACTIVE |
| Lake Bleu Capital (Hong Kong) Limited CRD: 306899 | - | 0 | 0 | - | Unknown |
| Lake Bridge Capital CRD: 285671 | - | 0 | 0 | - | Unknown |
| Lake Bridge Capital II CRD: 290446 | - | 0 | 0 | - | Unknown |
| Lake Bridge Capital III CRD: 290089 | - | 0 | 0 | - | Unknown |
| Lake Capital Investments LLC CRD: 103925 | - | 0 | 0 | A | INACTIVE |
| Lake Capital Management LLC CRD: 159508 | - | 0 | 0 | - | Unknown |
| Lake Capital Partners, Inc. CRD: 38596 | - | 0 | 0 | A | INACTIVE |
| Lake Champlain Brokerage Services LLC CRD: 155962 | - | 0 | 0 | A | INACTIVE |
| Lake Effect Wealth LLC CRD: 306464 | - | 0 | 1 | - | Unknown |
| Lake Forest Venture Group, Ltd. CRD: 10108 | - | 0 | 0 | A | INACTIVE |
| Lake Geneva Investments, Ltd. CRD: 13188 | - | 0 | 0 | A | INACTIVE |
| Lake George Capital Management, LLC CRD: 316519 | - | 0 | 0 | - | Unknown |
| Lake Highlands Capital Management CRD: 304452 | - | 0 | 2 | - | Unknown |
| Lake Hill Capital LLC CRD: 136444 | - | 0 | 0 | A | INACTIVE |
| Lake Hill Capital Management, LLC CRD: 166526 | - | 0 | 1 | - | Unknown |
| Lake Hills Wealth Management, LLC CRD: 286175 | - | 0 | 2 | - | Unknown |
| Lake Jericho, LLC CRD: 173782 | - | 0 | 1 | - | Unknown |
| Lake Life Wealth Advisory Group CRD: 292520 | - | 0 | 1 | - | Unknown |
| Lake Mary Wealth Management, LLC CRD: 121817 | - | 0 | 0 | - | Unknown |
| Lake Pacific Partners CRD: 174253 | - | 0 | 1 | - | Unknown |
| Lake Park Advisors CRD: 269941 | - | 0 | 1 | - | Unknown |
| Lake Partners,Inc. CRD: 107504 | - | 0 | 0 | - | Unknown |
| Lake Point Wealth Management, LLC CRD: 170398 | - | 0 | 0 | - | Unknown |
| Lake Road Advisors, LLC CRD: 281657 | - | 0 | 2 | - | Unknown |
| Lake Shore Enterprises, Inc. CRD: 11102 | - | 0 | 0 | A | INACTIVE |
| Lake State Financial Inc CRD: 327163 | - | 0 | 1 | - | Unknown |
| Lake Street CRD: 296761 | - | 0 | 3 | - | Unknown |
| Lake Street Advisors CRD: 288300 | - | 0 | 0 | - | Unknown |
| Lake Street Advisors, LLC CRD: 125471 | - | 0 | 0 | - | Unknown |
| Lake Street Capital Markets, LLC CRD: 164447 | MN | 0 | 3 | A | Active |
| Lake Tahoe Wealth Management, Inc. CRD: 166173 | - | 0 | 0 | - | Unknown |
| Lake Water Advisory, LLC CRD: 327854 | - | 0 | 1 | - | Unknown |
| Lake Whillans Capital Partners LLC CRD: 287835 | - | 0 | 1 | - | Unknown |
| Lakefront Wealth Management, LLC CRD: 226652 | - | 0 | 0 | - | Unknown |
| Lakehouse Ventures, LLC CRD: 316310 | - | 0 | 1 | - | Unknown |
| Lakekat Advisory, LLC CRD: 113433 | - | 0 | 2 | - | Unknown |
| Lakeland Investment Advisors, LLC. CRD: 158978 | - | 0 | 1 | - | Unknown |
| Lakeland Investor Services, Inc. CRD: 167100 | - | 0 | 1 | - | Unknown |
| Lakeland Wealth Management LLC CRD: 173831 | - | 0 | 2 | - | Unknown |
| Lakeline Financial CRD: 339602 | - | 0 | 1 | - | Unknown |
| Lakemont Wealth CRD: 338421 | - | 0 | 1 | - | Unknown |
| Lakemore Credit Manager Lcof-Master Ltd. CRD: 306884 | - | 0 | 0 | - | Unknown |
| Lakemore Credit Manager V-International Ltd. CRD: 327693 | - | 0 | 0 | - | Unknown |
| Lakemore Credit Manager V-Master Ltd. CRD: 327691 | - | 0 | 0 | - | Unknown |
| Lakemore Credit Manager VI-International Ltd. CRD: 338788 | - | 0 | 0 | - | Unknown |
| Lakemore Credit Manager VI-Master Ltd. CRD: 338786 | - | 0 | 0 | - | Unknown |
| Lakemore Partners (UK) Limited CRD: 314740 | - | 0 | 0 | - | Unknown |
| Lakemore Partners Management US LLC CRD: 311223 | - | 0 | 0 | - | Unknown |
| Lakepoint Wealth Partners CRD: 343032 | - | 0 | 1 | - | Unknown |