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 |
|---|---|---|---|---|---|
| Lawrence Financial Services CRD: 118072 | - | 0 | 0 | - | Unknown |
| Lawrence Financial Services CRD: 142201 | - | 0 | 2 | - | Unknown |
| Lawrence Gale Hastings CRD: 14287 | - | 0 | 0 | A | INACTIVE |
| Lawrence Garshofsky and Company, LLC CRD: 129518 | - | 0 | 0 | - | Unknown |
| Lawrence Global Advisors, Inc. CRD: 142753 | - | 0 | 0 | - | Unknown |
| Lawrence Goldberg, Inc. CRD: 41429 | - | 0 | 0 | A | INACTIVE |
| Lawrence Helfant LLC CRD: 32829 | - | 2 | 0 | B | INACTIVE |
| Lawrence Investment Co. CRD: 137157 | - | 0 | 0 | - | Unknown |
| Lawrence J. Chazen, Inc. CRD: 119350 | - | 0 | 1 | - | Unknown |
| Lawrence Landis CRD: 135559 | - | 0 | 1 | - | Unknown |
| Lawrence Russell and Company CRD: 133101 | - | 0 | 2 | - | Unknown |
| Lawrence Wealth Management CRD: 147228 | - | 0 | 1 | - | Unknown |
| Lawrence, Alan CRD: 311160 | - | 0 | 1 | - | Unknown |
| Lawrence, Rager & Co., Inc. CRD: 11705 | - | 0 | 0 | A | INACTIVE |
| Lawrentz Associated L.L.C. CRD: 47613 | - | 0 | 0 | A | INACTIVE |
| Lawshares, LLC CRD: 174510 | - | 0 | 0 | - | Unknown |
| Lawson Amason Investment Securities, Inc. CRD: 19437 | - | 0 | 0 | A | INACTIVE |
| Lawson Financial Group, Inc. CRD: 116591 | - | 0 | 0 | - | Unknown |
| Lawson Kroeker Investment Management Inc CRD: 105053 | - | 0 | 2 | - | Unknown |
| Lawson, John R. CRD: 152426 | - | 0 | 0 | - | Unknown |
| Lawson-Essex Security Corporation CRD: 20276 | - | 0 | 0 | A | INACTIVE |
| Lawton Park Capital Management, LP CRD: 173827 | - | 0 | 0 | - | Unknown |
| Lawton Retirement Plan Consultants, LLC CRD: 164342 | - | 0 | 1 | - | Unknown |
| Laxague, Antoine Gratien CRD: 41870 | - | 0 | 0 | A | INACTIVE |
| Laxey Partners Limited CRD: 125239 | - | 0 | 0 | - | Unknown |
| Laxmi Capital Management LLC CRD: 328700 | - | 0 | 1 | - | Unknown |
| Laxmi Financial Services, LLC CRD: 322288 | - | 0 | 0 | - | Unknown |
| Laxton, Herbert E CRD: 32804 | - | 0 | 0 | A | INACTIVE |
| Layari Financial CRD: 321852 | - | 0 | 1 | - | Unknown |
| Layborne & Company, Inc. CRD: 16000 | - | 0 | 0 | A | INACTIVE |
| Laydon Wealth Management, LLC CRD: 290162 | - | 0 | 0 | - | Unknown |
| Layer 7 Management LLC CRD: 288461 | - | 0 | 0 | - | Unknown |
| Layer ONE Ventures, LLC CRD: 322397 | - | 0 | 1 | - | Unknown |
| Layer1 Capital, LLC CRD: 299640 | - | 0 | 0 | - | Unknown |
| Layered Financial, LLC CRD: 326418 | - | 0 | 1 | - | Unknown |
| Layla Capital Management, LP CRD: 328601 | - | 0 | 1 | - | Unknown |
| Layline Advisors CRD: 285136 | - | 0 | 1 | - | Unknown |
| Layline Financial CRD: 327148 | - | 0 | 1 | - | Unknown |
| Layne Financial Group CRD: 336700 | - | 0 | 1 | - | Unknown |
| Layout Management, LLC CRD: 332849 | - | 0 | 1 | - | Unknown |
| Laywell Financial Resources CRD: 114469 | - | 0 | 0 | - | Unknown |
| Lazar Frederick & Company CRD: 15615 | - | 0 | 0 | A | INACTIVE |
| Lazard Alternatives, LLC CRD: 112741 | - | 0 | 0 | - | Unknown |
| Lazard Asset Management LLC CRD: 122836 | - | 0 | 3 | - | Unknown |
| Lazard Asset Management Securities LLC CRD: 129119 | NY | 0 | 4 | A | Active |
| Lazard Freres & Co. LLC CRD: 2528 | NY | 16 | 10 | D | Active |
| Lazard Middle Market LLC CRD: 146092 | - | 0 | 0 | A | INACTIVE |
| Lazari Capital Management, Inc. CRD: 172932 | - | 0 | 5 | - | Unknown |
| Lazarow Wealth Management CRD: 286172 | - | 0 | 1 | - | Unknown |
| Lazarus Economics & Strategy CRD: 175120 | - | 0 | 0 | - | Unknown |