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 |
|---|---|---|---|---|---|
| Leek, JAY CRD: 287492 | - | 0 | 1 | - | Unknown |
| Leelyn Smith, LLC CRD: 110517 | - | 0 | 4 | - | Unknown |
| Leep Asset Management, LLC CRD: 321685 | - | 0 | 1 | - | Unknown |
| Leerink Partners LLC CRD: 39011 | MA | 6 | 11 | C | Active |
| Leerink Pharmaceutical Investments LLC CRD: 172514 | - | 0 | 0 | - | Unknown |
| Leerink Transformation Partners CRD: 283215 | - | 0 | 0 | - | Unknown |
| Lees Monsour Group CRD: 318023 | - | 0 | 1 | - | Unknown |
| Leetown Advisors CRD: 289361 | - | 0 | 1 | - | Unknown |
| Leetzow Group Advisors CRD: 306376 | - | 0 | 0 | - | Unknown |
| Leeward Financial Partners, LLC CRD: 288779 | - | 0 | 3 | - | Unknown |
| Leeward Investments CRD: 312557 | - | 0 | 3 | - | Unknown |
| Leeward Securities, Inc. CRD: 13721 | - | 0 | 0 | A | INACTIVE |
| LEF Capital Advisors LLC CRD: 288392 | - | 0 | 0 | - | Unknown |
| Lefavi Wealth Management CRD: 104961 | - | 0 | 1 | - | Unknown |
| Lefcourt Financial Group, Inc. CRD: 8220 | - | 0 | 0 | A | INACTIVE |
| Lefevre & Associates CRD: 122837 | - | 0 | 2 | - | Unknown |
| Lefils Wealth Management LLC CRD: 291681 | - | 0 | 2 | - | Unknown |
| Lefleur Capital Corp. CRD: 43001 | - | 0 | 0 | A | INACTIVE |
| Lefleur Financial CRD: 174156 | - | 0 | 1 | - | Unknown |
| Lefonds CRD: 314824 | - | 0 | 1 | - | Unknown |
| Left Brain Investment Research, LLC CRD: 304700 | - | 0 | 0 | - | Unknown |
| Left Brain Wealth Management, LLC CRD: 170348 | - | 0 | 2 | - | Unknown |
| Left Coast Investment Strategies LLC CRD: 317112 | - | 0 | 1 | - | Unknown |
| Left Lane Capital CRD: 309286 | - | 0 | 1 | - | Unknown |
| Left Lane Capital Advisors LLC CRD: 330621 | - | 0 | 1 | - | Unknown |
| Leftskewed Investment Management, LLC CRD: 318669 | - | 0 | 1 | - | Unknown |
| Lega Z Advisory LLC CRD: 297417 | - | 0 | 1 | - | Unknown |
| Legacies Wealth LLC CRD: 143138 | - | 0 | 1 | - | Unknown |
| Legacitree Wealth Management, LLC CRD: 311540 | - | 0 | 1 | - | Unknown |
| Legacy & Wealth Financial Advisors CRD: 284432 | - | 0 | 1 | - | Unknown |
| Legacy 360 Financial and Wealth Management LLC CRD: 288219 | - | 0 | 0 | - | Unknown |
| Legacy 401K Partners, LLC CRD: 181525 | - | 0 | 1 | - | Unknown |
| Legacy Advance Solutions LLC CRD: 284835 | - | 0 | 0 | - | Unknown |
| Legacy Advisors CRD: 117747 | - | 0 | 1 | - | Unknown |
| Legacy Advisors CRD: 338041 | - | 0 | 1 | - | Unknown |
| Legacy Advisors, LLC CRD: 139830 | - | 0 | 5 | - | Unknown |
| Legacy Advisory Group CRD: 141329 | - | 0 | 0 | - | Unknown |
| Legacy Advisory Group, Inc CRD: 328470 | - | 0 | 1 | - | Unknown |
| Legacy Advisory Group, Inc. CRD: 131895 | - | 0 | 2 | - | Unknown |
| Legacy Advisory Group, LLC CRD: 281527 | - | 0 | 0 | - | Unknown |
| Legacy Advisory Group, LLC CRD: 285596 | - | 0 | 0 | - | Unknown |
| Legacy Advisory Limited Company CRD: 300802 | - | 0 | 2 | - | Unknown |
| Legacy Advisory Network, LLC CRD: 313266 | - | 0 | 1 | - | Unknown |
| Legacy Advisory Services CRD: 307478 | - | 0 | 0 | - | Unknown |
| Legacy Advisory Services, LLC CRD: 147173 | - | 0 | 1 | - | Unknown |
| Legacy Beyond Wealth LLC CRD: 328708 | - | 0 | 1 | - | Unknown |
| Legacy Bridge Private Family Offices CRD: 282261 | - | 0 | 2 | - | Unknown |
| Legacy Builders Financial, LLC CRD: 289988 | - | 0 | 1 | - | Unknown |
| Legacy Capital CRD: 332184 | - | 0 | 2 | - | Unknown |
| Legacy Capital and Advisory LLC CRD: 316601 | - | 0 | 0 | - | Unknown |