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 |
|---|---|---|---|---|---|
| Lasalle ST. Financial, Inc. CRD: 29396 | - | 0 | 0 | A | INACTIVE |
| Lasalle ST. Investment Advisors, L.L.C. CRD: 109701 | - | 0 | 154 | - | Unknown |
| Lasalle Street Capital Management, LLC CRD: 148365 | - | 0 | 0 | - | Unknown |
| Lasalle-Monroe Asset Management CRD: 123084 | - | 0 | 0 | - | Unknown |
| Lascaux Resource Capital, LLC CRD: 168330 | - | 0 | 0 | - | Unknown |
| Laser Wealth Management, LC CRD: 188516 | - | 0 | 1 | - | Unknown |
| Lashco, Inc. CRD: 15982 | - | 0 | 0 | A | INACTIVE |
| Lashley Wealth Management CRD: 328154 | - | 0 | 1 | - | Unknown |
| Lasker, Stone & Stern CRD: 3505 | - | 0 | 0 | A | INACTIVE |
| Lasp Capital, LLC CRD: 311716 | - | 0 | 1 | - | Unknown |
| Lassen Advisors, LLC CRD: 285782 | - | 0 | 0 | - | Unknown |
| Lassen Capital Management, L.P. CRD: 283524 | - | 0 | 0 | - | Unknown |
| Lassiter Financial Advisors, LLC CRD: 153547 | - | 0 | 1 | - | Unknown |
| Lassus Wherley CRD: 110924 | - | 0 | 0 | - | Unknown |
| Last, Robert ROY CRD: 104182 | - | 0 | 0 | A | INACTIVE |
| Lasting Legacy Wealth Management, LLC CRD: 328107 | - | 0 | 1 | - | Unknown |
| Lasting Mark Retirement Group LLC CRD: 325151 | - | 0 | 9 | - | Unknown |
| Lasting Wealth Principles, LLC CRD: 307246 | - | 0 | 1 | - | Unknown |
| Latam Investments, LLC CRD: 133163 | - | 0 | 0 | A | INACTIVE |
| Latash Investments, LLC CRD: 128012 | - | 0 | 4 | - | Unknown |
| Late Bloom Advising CRD: 298783 | - | 0 | 0 | - | Unknown |
| Late Checkout Ventures, LLC CRD: 316158 | - | 0 | 1 | - | Unknown |
| Late MAY Ventures LLC CRD: 300832 | - | 0 | 1 | - | Unknown |
| Lateral Capital Advisors, LLC CRD: 299370 | - | 0 | 1 | - | Unknown |
| Lateral Capital Group, LLC CRD: 331570 | - | 0 | 1 | - | Unknown |
| Lateral Frontiers VC CRD: 297605 | - | 0 | 0 | - | Unknown |
| Lateral Investment Management, LLC CRD: 159649 | - | 0 | 1 | - | Unknown |
| Laterman & Company CRD: 13019 | - | 0 | 0 | A | INACTIVE |
| Laterman Strategies: 90'S LLC CRD: 30374 | - | 0 | 0 | A | INACTIVE |
| Latham Capital Management, LLC CRD: 341082 | - | 0 | 1 | - | Unknown |
| Latham Financial LLC CRD: 337217 | - | 0 | 1 | - | Unknown |
| Latham Investments, LLC CRD: 319270 | - | 0 | 0 | - | Unknown |
| Latham Personal Asset Management CRD: 112824 | - | 0 | 0 | - | Unknown |
| Lathram Financial Group, LLC CRD: 172358 | - | 0 | 1 | - | Unknown |
| Latigo Partners, L.P. CRD: 138686 | - | 0 | 0 | - | Unknown |
| Latimer Light Capital, L.P. CRD: 269850 | - | 0 | 0 | - | Unknown |
| Latin America Bioenergy Fund Partners Ltd. (Cayman… CRD: 163926 | - | 0 | 0 | - | Unknown |
| Latin America Real Assets Capital Management LLC CRD: 342826 | - | 0 | 1 | - | Unknown |
| Latin Idea Advisors, LLC CRD: 163688 | - | 0 | 0 | - | Unknown |
| Latin Securities Inc. CRD: 164117 | FL | 0 | 4 | A | Active |
| Latitude 37 Ventures LLC CRD: 320810 | - | 0 | 1 | - | Unknown |
| Latitude 4 CRD: 311421 | - | 0 | 1 | - | Unknown |
| Latitude Advisors, LLC CRD: 151001 | - | 0 | 69 | - | Unknown |
| Latitude Capital CRD: 330729 | - | 0 | 1 | - | Unknown |
| Latitude GP Limited CRD: 300881 | - | 0 | 0 | - | Unknown |
| Latitude Investment Group CRD: 333819 | - | 0 | 3 | - | Unknown |
| Latitude Investment Management LLP CRD: 323105 | - | 0 | 0 | - | Unknown |
| Latitude Wealth Management, LLC CRD: 171149 | - | 0 | 0 | - | Unknown |
| Latko Wealth Management, Ltd. CRD: 282423 | - | 0 | 1 | - | Unknown |
| Latour Asset Management LLC CRD: 172461 | - | 0 | 2 | - | Unknown |