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 |
|---|---|---|---|---|---|
| Legs Financial CRD: 331204 | - | 0 | 1 | - | Unknown |
| LEH Advisors LLC CRD: 326909 | - | 0 | 1 | - | Unknown |
| LEH II Management LLC CRD: 328785 | - | 0 | 1 | - | Unknown |
| Lehane TAX CRD: 145470 | - | 0 | 0 | - | Unknown |
| Lehman Brothers Distributors Inc. CRD: 8441 | - | 0 | 0 | A | INACTIVE |
| Lehman Brothers Inc. CRD: 7506 | - | 887 | 0 | F | INACTIVE |
| Lehman Brothers International Securities, Inc. CRD: 7406 | - | 0 | 0 | A | INACTIVE |
| Lehman Brothers Kuhn Loeb Incorporated CRD: 7555 | - | 0 | 0 | A | INACTIVE |
| Lehman Brothers Private Equity Advisers LLC CRD: 112468 | - | 0 | 0 | - | Unknown |
| Lehman Brothers Private Fund Advisers, LP CRD: 124970 | - | 0 | 0 | - | Unknown |
| Lehman Brothers Private Fund Management, LP CRD: 124969 | - | 0 | 0 | - | Unknown |
| Lehman Brothers Puerto Rico Inc. CRD: 10890 | - | 0 | 0 | A | INACTIVE |
| Lehman Capital Advisors, LLC CRD: 159391 | - | 0 | 0 | - | Unknown |
| Lehman Financial Resources CRD: 292523 | - | 0 | 0 | - | Unknown |
| Lehman Financial Resources, Inc. CRD: 139500 | - | 0 | 0 | - | Unknown |
| Lehman Government Securities Inc. CRD: 19655 | - | 0 | 0 | A | INACTIVE |
| Lehman Special Securities Inc. CRD: 7242 | - | 0 | 0 | A | INACTIVE |
| Lehman, Clark M CRD: 134477 | - | 0 | 0 | - | Unknown |
| Lehmann, Livian, Fridson Advisors, LLC CRD: 169980 | - | 0 | 1 | - | Unknown |
| Lehner Capital, LLC CRD: 340977 | - | 0 | 1 | - | Unknown |
| Lehrer Financial & Economic Advisory Services CRD: 105835 | - | 0 | 1 | - | Unknown |
| Lehrer Financial Innovations Inc. CRD: 173942 | - | 0 | 0 | - | Unknown |
| Lehwald, Orosey & Pepe Incorporated CRD: 16677 | - | 0 | 0 | A | INACTIVE |
| LEI Wealth Management, LLC CRD: 289403 | - | 0 | 0 | - | Unknown |
| Leibman Financial Servces, Inc. CRD: 323120 | - | 0 | 1 | - | Unknown |
| Leibniz Group Corp. CRD: 329041 | - | 0 | 0 | - | Unknown |
| Leibundgut Capital Management CRD: 286043 | - | 0 | 0 | - | Unknown |
| Leifm LLC CRD: 336293 | - | 0 | 1 | - | Unknown |
| Leigh Baldwin & Co., LLC CRD: 38751 | NY | 5 | 34 | B | Active |
| Lekker Capital Management, LLC CRD: 332599 | - | 0 | 0 | - | Unknown |
| LEL Investment LLC CRD: 306840 | - | 0 | 1 | - | Unknown |
| LEL Investment, LLC CRD: 286453 | - | 0 | 0 | - | Unknown |
| Lelah Financial, LLC CRD: 294223 | - | 0 | 1 | - | Unknown |
| Leland Decker & Co., Inc. CRD: 23440 | - | 0 | 0 | A | INACTIVE |
| Leland Securities, Inc. CRD: 22645 | - | 0 | 0 | A | INACTIVE |
| LEM Capital, L.P. CRD: 159817 | - | 0 | 1 | - | Unknown |
| LEM Financial Group LLC CRD: 289283 | - | 0 | 0 | - | Unknown |
| Lemanik Asset Management S.A. CRD: 320864 | - | 0 | 0 | - | Unknown |
| Lemans Portfolio Design L.L.C. CRD: 120899 | - | 0 | 0 | - | Unknown |
| Lemark Associates CRD: 11371 | - | 0 | 0 | A | INACTIVE |
| Lembas Capital LLC CRD: 299625 | - | 0 | 0 | - | Unknown |
| Lembas Research, LLC CRD: 323506 | - | 0 | 0 | - | Unknown |
| Lemelson Capital Management, LLC CRD: 164969 | - | 0 | 0 | - | Unknown |
| Lemhi Ventures Management Inc. CRD: 161753 | - | 0 | 0 | - | Unknown |
| Lemley Yarling Management Co CRD: 110792 | - | 0 | 2 | - | Unknown |
| Lemley, Yarling & Co. CRD: 18234 | KY | 2 | 2 | B | Active |
| Lemme Investment Group, LLC CRD: 332637 | - | 0 | 1 | - | Unknown |
| Lemnis Capital CRD: 340137 | - | 0 | 1 | - | Unknown |
| Lemniscap Global Limited CRD: 325597 | - | 0 | 0 | - | Unknown |
| Lemnos Labs Inc. CRD: 163685 | - | 0 | 1 | - | Unknown |