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 |
|---|---|---|---|---|---|
| Leafvest Capital LLC CRD: 312305 | - | 0 | 0 | - | Unknown |
| League Capital Markets CRD: 170803 | NY | 0 | 2 | A | Active |
| Leal Financial Planning CRD: 152708 | - | 0 | 0 | - | Unknown |
| Leamington Capital Advisors, LLC CRD: 290051 | - | 0 | 0 | - | Unknown |
| Leamnson Capital Advisory, LLC CRD: 157113 | - | 0 | 1 | - | Unknown |
| Lean Purse Advisors CRD: 284889 | - | 0 | 0 | - | Unknown |
| Leap Forward Ventures, LLC CRD: 326416 | - | 0 | 1 | - | Unknown |
| Leap Global Partners CRD: 320773 | - | 0 | 1 | - | Unknown |
| Leap Wealth Management CRD: 152253 | - | 0 | 2 | - | Unknown |
| Leapfrog Investments Group, Ltd. CRD: 169188 | - | 0 | 0 | - | Unknown |
| Leapfrog Investments Ltd. CRD: 165150 | - | 0 | 0 | - | Unknown |
| Leapfrog Ventures CRD: 162444 | - | 0 | 0 | - | Unknown |
| Leaping KOI, Inc. CRD: 316628 | - | 0 | 1 | - | Unknown |
| Leargas Capital LLC CRD: 326613 | - | 0 | 1 | - | Unknown |
| Learn Capital CRD: 170595 | - | 0 | 1 | - | Unknown |
| Learned & Company, Inc. CRD: 2529 | - | 0 | 0 | A | INACTIVE |
| Learned Investments, Inc. CRD: 19807 | - | 0 | 0 | A | INACTIVE |
| Learnlaunch Accelerator II Management LLC CRD: 301399 | - | 0 | 1 | - | Unknown |
| Learnlaunch Operating Company LLC CRD: 168697 | - | 0 | 0 | - | Unknown |
| Learnvest Planning Services, LLC CRD: 162453 | - | 0 | 0 | - | Unknown |
| Leathe & Associates, LLC CRD: 133651 | - | 0 | 0 | - | Unknown |
| Leatherback Asset Management, LLC CRD: 310252 | - | 0 | 1 | - | Unknown |
| Leatherback Investments LLC CRD: 299608 | - | 0 | 2 | - | Unknown |
| Leavell Investment Management, Inc. CRD: 107890 | - | 0 | 16 | - | Unknown |
| Leavitt Wealth Management, LLC CRD: 148915 | - | 0 | 0 | - | Unknown |
| Leawood Venture Capital LLC CRD: 292446 | - | 0 | 1 | - | Unknown |
| Lebed Asset Management LLC CRD: 125279 | - | 0 | 1 | - | Unknown |
| Lebens Advisory Group LLC CRD: 175089 | - | 0 | 4 | - | Unknown |
| Lebenthal & Co., Inc. CRD: 6490 | - | 6 | 0 | C | INACTIVE |
| Lebenthal & Co., LLC CRD: 145750 | - | 3 | 0 | C | INACTIVE |
| Lebenthal Asset Management, LLC CRD: 146332 | - | 0 | 0 | - | Unknown |
| Lebenthal Diversified Asset Management Inc. CRD: 167243 | - | 0 | 1 | - | Unknown |
| Lebenthal Global Advisors, LLC CRD: 283303 | - | 0 | 19 | - | Unknown |
| Lebenthal Partners LLC CRD: 170448 | - | 0 | 0 | - | Unknown |
| Lebenthal Wealth Advisors, LLC CRD: 169612 | - | 0 | 0 | - | Unknown |
| Lebenthal Wealth Planning, Inc. CRD: 153762 | - | 0 | 1 | - | Unknown |
| Lebkuecher, Spencer, Inc. CRD: 7273 | - | 0 | 0 | A | INACTIVE |
| Leblanc Financial Associates, LLC CRD: 137284 | - | 0 | 0 | - | Unknown |
| Lebrigh Life Planners CRD: 132060 | - | 0 | 1 | - | Unknown |
| Lebrun Investment Management, Inc. CRD: 116093 | - | 0 | 0 | - | Unknown |
| LEC Investment Corp. CRD: 25336 | AL | 1 | 2 | B | Active |
| Lecap Asset Management Limited CRD: 325210 | - | 0 | 0 | - | Unknown |
| Lechner Associates CRD: 129181 | - | 0 | 1 | - | Unknown |
| Leclair Wealth Partners CRD: 332827 | - | 0 | 2 | - | Unknown |
| Leconte Wealth Management, LLC CRD: 168539 | - | 0 | 2 | - | Unknown |
| Lecorgne Loewenbaum & Co., LLC CRD: 103772 | - | 0 | 0 | A | INACTIVE |
| Lecount R. Davis, CFP CRD: 157039 | - | 0 | 0 | - | Unknown |
| Leda Trust LLC CRD: 153541 | - | 0 | 0 | - | Unknown |
| Ledbury Capital Partners LLP CRD: 270028 | - | 0 | 0 | - | Unknown |
| Leder Fiduciary Capital LLC CRD: 285490 | - | 0 | 1 | - | Unknown |