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 |
|---|---|---|---|---|---|
| Legacy Wealth Management, LLC CRD: 304659 | - | 0 | 1 | - | Unknown |
| Legacy Wealth Management, LLC CRD: 108619 | - | 0 | 5 | - | Unknown |
| Legacy Wealth Management, LLC CRD: 174767 | - | 0 | 46 | - | Unknown |
| Legacy Wealth Partners Inc. CRD: 285031 | - | 0 | 0 | - | Unknown |
| Legacy Wealth Partners, LLC CRD: 333032 | - | 0 | 1 | - | Unknown |
| Legacy Wealth Planning CRD: 322883 | - | 0 | 1 | - | Unknown |
| Legacy Wealth Planning Group CRD: 327818 | - | 0 | 1 | - | Unknown |
| Legacy Wealth Planning LLC CRD: 297143 | - | 0 | 0 | - | Unknown |
| Legacy Wealth Planning, LLC CRD: 289212 | - | 0 | 0 | - | Unknown |
| Legacy Wealth Planning, LLC CRD: 152084 | - | 0 | 1 | - | Unknown |
| Legacy Wealth, Inc. CRD: 337405 | - | 0 | 1 | - | Unknown |
| Legacybridge Wealth Management, LLC CRD: 332997 | - | 0 | 1 | - | Unknown |
| Legado Wealth Management LLC CRD: 305263 | - | 0 | 1 | - | Unknown |
| Legal Advantage Investments, Inc. CRD: 118131 | - | 0 | 2 | - | Unknown |
| Legalist CRD: 297876 | - | 0 | 1 | - | Unknown |
| Legate Capital Management, L.P. CRD: 328193 | - | 0 | 1 | - | Unknown |
| Legato Capital Management, LLC CRD: 131704 | - | 0 | 2 | - | Unknown |
| Legato Investments, LLC CRD: 124934 | - | 0 | 0 | A | INACTIVE |
| Legatum Services LLC CRD: 316299 | - | 0 | 1 | - | Unknown |
| Legeis Capital Advisors, LLC CRD: 332943 | - | 0 | 1 | - | Unknown |
| Legend Advisors, LLC CRD: 313341 | - | 0 | 0 | - | Unknown |
| Legend Advisory, LLC CRD: 104761 | - | 0 | 0 | - | Unknown |
| Legend Capital CRD: 163586 | - | 0 | 0 | - | Unknown |
| Legend Capital CRD: 336029 | - | 0 | 2 | - | Unknown |
| Legend Capital Corporation CRD: 4149 | - | 0 | 0 | A | INACTIVE |
| Legend Capital Management, LLC CRD: 118299 | - | 0 | 0 | - | Unknown |
| Legend Equities Corporation CRD: 30999 | - | 7 | 0 | D | INACTIVE |
| Legend Financial Management CRD: 120978 | - | 0 | 0 | - | Unknown |
| Legend Investment Management Inc. CRD: 14454 | - | 0 | 0 | A | INACTIVE |
| Legend Merchant Group, Inc. CRD: 5155 | - | 16 | 0 | D | INACTIVE |
| Legend Private Wealth, LLC CRD: 308639 | - | 0 | 3 | - | Unknown |
| Legend Rock Financial CRD: 314716 | - | 0 | 0 | - | Unknown |
| Legend Securities, Inc. CRD: 44952 | - | 36 | 0 | F | INACTIVE |
| Legend Syndicators, Inc. CRD: 11844 | - | 0 | 0 | A | INACTIVE |
| Legend Trading, LLC CRD: 150567 | - | 7 | 0 | D | INACTIVE |
| Legend WM CRD: 174259 | - | 0 | 0 | - | Unknown |
| Legendary Ventures, LLC. CRD: 325984 | - | 0 | 1 | - | Unknown |
| Leges Wealth Management LLC CRD: 339110 | - | 0 | 1 | - | Unknown |
| Legg Mason Masten Inc. CRD: 2 | - | 0 | 0 | A | INACTIVE |
| Legg Mason Warren York, Inc. CRD: 873 | - | 0 | 0 | A | INACTIVE |
| Legg Mason Wood Walker, Incorporated CRD: 6555 | - | 71 | 0 | F | INACTIVE |
| Leggett Ventures CRD: 326175 | - | 0 | 1 | - | Unknown |
| Leggett Ventures CRD: 342997 | - | 0 | 1 | - | Unknown |
| Legion Capital Management, LLC CRD: 147552 | - | 0 | 1 | - | Unknown |
| Legion Financial Advisors CRD: 298521 | - | 0 | 0 | - | Unknown |
| Legion Invest CRD: 317982 | - | 0 | 0 | - | Unknown |
| Legion Partners Asset Management, LLC CRD: 164136 | - | 0 | 4 | - | Unknown |
| Legion VC CRD: 341689 | - | 0 | 1 | - | Unknown |
| Legionce Investment Advisors, Inc. CRD: 112472 | - | 0 | 1 | - | Unknown |
| Legionnaire Securities LLC CRD: 297422 | IL | 0 | 1 | A | Active |