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 |
|---|---|---|---|---|---|
| Lakeridge Capital Inc. CRD: 25005 | - | 4 | 0 | C | INACTIVE |
| Lakeridge Wealth Management LLC CRD: 314071 | - | 0 | 10 | - | Unknown |
| Lakes Wealth Advisory, LLC CRD: 150666 | - | 0 | 2 | - | Unknown |
| Lakeshire Financial CRD: 305610 | - | 0 | 0 | - | Unknown |
| Lakeshore Advisors CRD: 329497 | - | 0 | 3 | - | Unknown |
| Lakeshore Capital Group, Inc. CRD: 325609 | - | 0 | 1 | - | Unknown |
| Lakeshore Financial Corp. CRD: 22096 | - | 0 | 0 | A | INACTIVE |
| Lakeshore MGMT, LLC CRD: 159975 | - | 0 | 0 | - | Unknown |
| Lakeshore Securities, L.P. CRD: 34381 | IL | 13 | 2 | D | Active |
| Lakeshore Wealth Management LLC CRD: 331324 | - | 0 | 1 | - | Unknown |
| Lakeside Advisors Inc CRD: 104540 | - | 0 | 2 | - | Unknown |
| Lakeside Capital Funds, LLC CRD: 340156 | - | 0 | 1 | - | Unknown |
| Lakeside Capital Management - Parallel, LLC CRD: 316373 | - | 0 | 1 | - | Unknown |
| Lakeside Capital Partners, L.P. CRD: 281875 | - | 0 | 0 | - | Unknown |
| Lakeside Capital, LLC CRD: 318163 | - | 0 | 0 | - | Unknown |
| Lakeside Drive Management LLC CRD: 306808 | - | 0 | 1 | - | Unknown |
| Lakeside Financial CRD: 128367 | - | 0 | 0 | - | Unknown |
| Lakeside Financial Inc. CRD: 213517 | - | 0 | 2 | - | Unknown |
| Lakeside Financial Planning, LLC CRD: 170716 | - | 0 | 1 | - | Unknown |
| Lakeside Financial Services, LLC CRD: 126956 | - | 0 | 0 | - | Unknown |
| Lakeside Fund, Ltd. CRD: 141623 | - | 0 | 0 | - | Unknown |
| Lakeside North Capital Advisors, LLC CRD: 238789 | - | 0 | 2 | - | Unknown |
| Lakeside Planning CRD: 311120 | - | 0 | 1 | - | Unknown |
| Lakeside Trading CRD: 39418 | - | 0 | 0 | A | INACTIVE |
| Lakeside Virtual Family Office, LLC CRD: 170940 | - | 0 | 0 | - | Unknown |
| Lakeside Wealth Management Group, LLC CRD: 140271 | - | 0 | 0 | - | Unknown |
| Lakeview Asset Management, LLC CRD: 119950 | - | 0 | 0 | - | Unknown |
| Lakeview Equity Partners, LLC CRD: 163792 | - | 0 | 0 | - | Unknown |
| Lakeview Financial Group LLC CRD: 139594 | - | 0 | 0 | - | Unknown |
| Lakeview Investment Advisors, LLC CRD: 122928 | - | 0 | 1 | - | Unknown |
| Lakeville Associates, LLC CRD: 294869 | - | 0 | 1 | - | Unknown |
| Lakewater Capital LLC CRD: 169909 | - | 0 | 0 | - | Unknown |
| Lakewealth Capital, LLC. CRD: 298463 | - | 0 | 1 | - | Unknown |
| Lakewood Asset Management LLC CRD: 316423 | - | 0 | 0 | - | Unknown |
| Lakewood Asset Management, LLC CRD: 156858 | - | 0 | 0 | - | Unknown |
| Lakewood Asset Management, LLC CRD: 174887 | - | 0 | 4 | - | Unknown |
| Lakewood Capital Management, LP CRD: 156429 | - | 0 | 1 | - | Unknown |
| Lakewood Financial Group, LLC CRD: 339568 | - | 0 | 3 | - | Unknown |
| Lakewood Hughes, LLC CRD: 313012 | - | 0 | 1 | - | Unknown |
| Lakota Trading, Inc. CRD: 31989 | - | 3 | 0 | C | INACTIVE |
| Lakpa LLC CRD: 335352 | - | 0 | 0 | - | Unknown |
| Lakshmi Capital Management LLC CRD: 150404 | - | 0 | 0 | - | Unknown |
| Lakshmi Investment Group, Inc. CRD: 14264 | - | 0 | 0 | A | INACTIVE |
| Lakshmi Wealth Management LLC CRD: 174249 | - | 0 | 1 | - | Unknown |
| LAL Ltd. CRD: 117748 | - | 0 | 2 | - | Unknown |
| Lally Wealth Management, LLC CRD: 164259 | - | 0 | 1 | - | Unknown |
| LAM Asset Management, LLC CRD: 318785 | - | 0 | 0 | - | Unknown |
| LAM Securities Investments, Inc. CRD: 17037 | - | 7 | 0 | D | INACTIVE |
| LAM Wagner, Inc. CRD: 29870 | - | 0 | 0 | A | INACTIVE |
| Lama Partners, LLC CRD: 312067 | - | 0 | 1 | - | Unknown |