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 |
|---|---|---|---|---|---|
| Ankura Capital Advisors, LLC CRD: 114155 | NY | 0 | 4 | A | Active |
| Anlo Financial, Inc. CRD: 11552 | - | 0 | 0 | A | INACTIVE |
| Anlyan & Hively Private Client Group, LLC CRD: 150580 | - | 0 | 0 | - | Unknown |
| Anmol Maini Ventures, LLC CRD: 320797 | - | 0 | 1 | - | Unknown |
| ANN Poloko, LLC CRD: 290220 | - | 0 | 0 | - | Unknown |
| Anna Baum Consulting CRD: 154472 | - | 0 | 0 | - | Unknown |
| Annadel Capital CRD: 132175 | - | 0 | 0 | - | Unknown |
| Annaly Credit Opportunities Management LLC CRD: 299542 | - | 0 | 1 | - | Unknown |
| Annaly Management Company CRD: 168122 | - | 0 | 0 | - | Unknown |
| Annandale Capital, LLC CRD: 136667 | - | 0 | 1 | - | Unknown |
| Annapolis Capital Advisers, LLC. CRD: 119440 | - | 0 | 0 | - | Unknown |
| Annapolitan Investment Group, Inc. CRD: 132539 | - | 0 | 1 | - | Unknown |
| Annapurna Capital GP, LLC CRD: 333685 | - | 0 | 1 | - | Unknown |
| Annapurna Funds, LP CRD: 333028 | - | 0 | 0 | - | Unknown |
| Annascaul Advisors LLC CRD: 124349 | - | 2 | 0 | B | INACTIVE |
| Anne Cornelius, CPA, P.C. CRD: 333469 | - | 0 | 3 | - | Unknown |
| Anne Pallie Limited CRD: 15998 | - | 0 | 0 | A | INACTIVE |
| Anne Townsend Capital, LLC CRD: 335724 | - | 0 | 1 | - | Unknown |
| Annecy LLC CRD: 169464 | - | 0 | 1 | - | Unknown |
| Annex Wealth Management, LLC CRD: 127987 | - | 0 | 29 | - | Unknown |
| Annin Securities, Inc. CRD: 24624 | - | 0 | 0 | A | INACTIVE |
| Annova LLC CRD: 309737 | - | 0 | 1 | - | Unknown |
| Annualitix CRD: 332510 | - | 0 | 1 | - | Unknown |
| Annuities Exchange CRD: 29958 | - | 0 | 0 | A | INACTIVE |
| Annuity Research & Consulting CRD: 315204 | - | 0 | 0 | - | Unknown |
| Annuitynet Insurance Agency, Inc. CRD: 102780 | - | 0 | 0 | A | INACTIVE |
| Anodos Advisors, LLC CRD: 140825 | - | 0 | 0 | - | Unknown |
| Anomaly Advisors CRD: 284934 | - | 0 | 1 | - | Unknown |
| Anomaly GP I, LLC CRD: 330546 | - | 0 | 1 | - | Unknown |
| Anora Wealth CRD: 337437 | - | 0 | 1 | - | Unknown |
| Anoroc Advisors LLC CRD: 316473 | - | 0 | 0 | - | Unknown |
| Anos Capital, LLC CRD: 284714 | NY | 0 | 7 | A | Active |
| Anova Capital LLC CRD: 122562 | - | 0 | 0 | A | INACTIVE |
| Anova Management CRD: 317812 | - | 0 | 5 | - | Unknown |
| Anova S. Tech LLC CRD: 340908 | - | 0 | 1 | - | Unknown |
| Anovest Investment Advisors CRD: 132344 | - | 0 | 1 | - | Unknown |
| ANQ Securities, Inc. CRD: 13896 | - | 0 | 0 | A | INACTIVE |
| Anqua Management LLC CRD: 309413 | - | 0 | 0 | - | Unknown |
| Anria CRD: 155158 | - | 0 | 0 | - | Unknown |
| Ansasi Capital, LLC CRD: 167308 | - | 0 | 0 | - | Unknown |
| Anselme Capital, Inc. CRD: 122278 | - | 0 | 3 | - | Unknown |
| Ansid Capital CRD: 325192 | - | 0 | 1 | - | Unknown |
| Ansley Securities LLC CRD: 47710 | MI | 0 | 2 | A | Active |
| Anson Advisors Inc. CRD: 167637 | - | 0 | 0 | - | Unknown |
| Anson Analytics CRD: 131416 | - | 0 | 2 | - | Unknown |
| Anson Funds Management LP CRD: 125109 | - | 0 | 2 | - | Unknown |
| Ansonia Capital Advisors LLC CRD: 335574 | - | 0 | 1 | - | Unknown |
| Anspach Financial Group CRD: 137016 | - | 0 | 0 | - | Unknown |
| ANT Money Advisors CRD: 308481 | - | 0 | 1 | - | Unknown |
| Anta Capital CRD: 333374 | VA | 0 | 4 | A | Active |