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 |
|---|---|---|---|---|---|
| Laurel Tree Advisors, LLC CRD: 168704 | - | 0 | 0 | - | Unknown |
| Laurel Wealth Advisors, Inc. CRD: 157139 | - | 0 | 0 | - | Unknown |
| Laurel Wealth Advisors, LLC CRD: 118469 | - | 0 | 1 | - | Unknown |
| Laurel Wealth Planning CRD: 122035 | - | 0 | 1 | - | Unknown |
| Laurelhurst Asset Management LLC CRD: 306141 | - | 0 | 2 | - | Unknown |
| Laurence Financial Planning LLC CRD: 150401 | - | 0 | 1 | - | Unknown |
| Laurentian Capital (USA) Inc CRD: 171211 | - | 0 | 0 | A | INACTIVE |
| Laurentide Advisory, LLC CRD: 269877 | - | 0 | 0 | - | Unknown |
| Laurentine Investments LLC CRD: 326796 | - | 0 | 1 | - | Unknown |
| Laurion Capital Management LP CRD: 161278 | - | 0 | 1 | - | Unknown |
| Laurium Capital (PTY) Ltd CRD: 326795 | - | 0 | 0 | - | Unknown |
| Laurium Capital International Ltd CRD: 282873 | - | 0 | 0 | - | Unknown |
| Laurus Global Equity Management Inc. CRD: 317604 | - | 0 | 0 | - | Unknown |
| Laurus Investment Counsel LLC CRD: 311740 | - | 0 | 0 | - | Unknown |
| Lauterbach Financial Advisors, LLC CRD: 114431 | - | 0 | 3 | - | Unknown |
| Lauver & Company, Inc. CRD: 510 | - | 0 | 0 | A | INACTIVE |
| Lauxera Capital Partners CRD: 313762 | - | 0 | 0 | - | Unknown |
| LAV Advanced Management Company Limited CRD: 288536 | - | 0 | 0 | - | Unknown |
| LAV Asset Management (Hong Kong) Limited CRD: 326019 | - | 0 | 0 | - | Unknown |
| LAV Global Management Company Limited CRD: 300989 | - | 0 | 0 | - | Unknown |
| LAV Investment Adviser Limited CRD: 313327 | - | 0 | 0 | - | Unknown |
| LAV Management Company, Limited CRD: 162393 | - | 0 | 0 | - | Unknown |
| Lava Creek Capital Management, LLC CRD: 165536 | - | 0 | 1 | - | Unknown |
| Lava Trading, Inc. CRD: 133804 | - | 0 | 0 | A | INACTIVE |
| Lava Ventures Ltd. CRD: 330688 | - | 0 | 0 | - | Unknown |
| Lava Wealth Management, LLC CRD: 167674 | - | 0 | 4 | - | Unknown |
| Lavaca Capital, LLC CRD: 167238 | - | 0 | 1 | - | Unknown |
| Lavaflow, Inc. CRD: 120444 | - | 9 | 0 | D | INACTIVE |
| Lavelle Capital CRD: 316754 | - | 0 | 1 | - | Unknown |
| Lavelle Opportunity Managers I LLC CRD: 308338 | - | 0 | 0 | - | Unknown |
| Lavelle Opportunity Managers II LLC CRD: 308340 | - | 0 | 0 | - | Unknown |
| Lavelle Opportunity Managers III LLC CRD: 311464 | - | 0 | 0 | - | Unknown |
| Laven Advisors LLP CRD: 328030 | - | 0 | 0 | - | Unknown |
| Lavender's Accounting & TAX Service CRD: 125206 | - | 0 | 0 | - | Unknown |
| Laverell, Reynolds Securities, Inc. CRD: 17456 | - | 0 | 0 | A | INACTIVE |
| Lavien Advisors, LLC CRD: 292378 | - | 0 | 0 | - | Unknown |
| Lavish Financial Planning CRD: 167592 | - | 0 | 1 | - | Unknown |
| Lavoie Wealth Advisors LLC CRD: 340995 | - | 0 | 1 | - | Unknown |
| Lavrock Ventures, LLC CRD: 285450 | - | 0 | 1 | - | Unknown |
| Lavya Investing LLC CRD: 325244 | - | 0 | 0 | - | Unknown |
| LAW & Associates Inc CRD: 105350 | - | 0 | 1 | - | Unknown |
| LAW Office of Jamie Townsend CRD: 317343 | - | 0 | 1 | - | Unknown |
| LAW Office of Kevin Adams, PLLC CRD: 173127 | - | 0 | 3 | - | Unknown |
| Lawing Financial Inc CRD: 117178 | - | 0 | 0 | - | Unknown |
| Lawler Securities Inc. CRD: 142206 | - | 0 | 0 | A | INACTIVE |
| Lawley & Associates CRD: 281354 | - | 0 | 0 | - | Unknown |
| Lawley Retirement Advisors CRD: 282786 | - | 0 | 3 | - | Unknown |
| Lawndale Capital Management, LLC CRD: 135638 | - | 0 | 0 | - | Unknown |
| Lawrence & Lawrence Company CRD: 511 | - | 0 | 0 | A | INACTIVE |
| Lawrence Financial Planning, LLC CRD: 127486 | - | 0 | 0 | - | Unknown |