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 |
|---|---|---|---|---|---|
| Lemot, Inc. CRD: 15308 | - | 0 | 0 | A | INACTIVE |
| Lempert Brothers International USA, Inc. CRD: 128241 | - | 1 | 0 | B | INACTIVE |
| Lemuel James Financial CRD: 162212 | - | 0 | 1 | - | Unknown |
| Lemvega Capital CRD: 326685 | - | 0 | 1 | - | Unknown |
| Lenape Investments, LLC CRD: 281804 | - | 0 | 1 | - | Unknown |
| Lend Lease Capital Markets, Inc. CRD: 21190 | - | 0 | 0 | A | INACTIVE |
| Lendable Asset Management LLC CRD: 309908 | - | 0 | 0 | - | Unknown |
| Lending ARK Asia Secured Private Debt Management L… CRD: 309441 | - | 0 | 0 | - | Unknown |
| Lendingclub Asset Management, LLC CRD: 155460 | - | 0 | 0 | - | Unknown |
| Lendingrobot CRD: 170515 | - | 0 | 0 | - | Unknown |
| Lendingrobot CRD: 169878 | - | 0 | 1 | - | Unknown |
| Lendlease Investment Management PTE Ltd CRD: 168598 | - | 0 | 0 | - | Unknown |
| Lenet Financial Resources, LLC CRD: 143249 | - | 0 | 1 | - | Unknown |
| Lenger Capital, Inc. CRD: 131557 | - | 0 | 0 | - | Unknown |
| Length LLC CRD: 333109 | - | 0 | 1 | - | Unknown |
| Lenihan Ginger Vallery CFP CRD: 104797 | - | 0 | 0 | - | Unknown |
| Lenity Financial, Inc. CRD: 283440 | - | 0 | 3 | - | Unknown |
| Lenk Ladner Investment Solutions LLC CRD: 109927 | - | 0 | 2 | - | Unknown |
| Lennox Financial CRD: 132182 | - | 0 | 2 | - | Unknown |
| Lenox Advisors, Inc. CRD: 119386 | - | 0 | 0 | - | Unknown |
| Lenox Securities, Inc. CRD: 27305 | - | 0 | 0 | A | INACTIVE |
| Lenox Wealth Management, Inc. CRD: 132818 | - | 0 | 0 | - | Unknown |
| Lens Flow Capital CRD: 328374 | - | 0 | 1 | - | Unknown |
| Lens Investments CRD: 166901 | - | 0 | 1 | - | Unknown |
| Lentz Advisors CRD: 335553 | - | 0 | 1 | - | Unknown |
| Lenz Integrity Financial CRD: 308335 | - | 0 | 1 | - | Unknown |
| Lenz Integrity Financial, L.L.C. CRD: 285896 | - | 0 | 0 | - | Unknown |
| Lenz Securities, Inc. CRD: 13116 | - | 0 | 0 | A | INACTIVE |
| LEO Brokerage, LLC CRD: 109121 | TX | 2 | 7 | B | Active |
| LEO Fund Services, LLC CRD: 163259 | - | 0 | 2 | - | Unknown |
| LEO Funds Americas, LLC CRD: 340323 | - | 0 | 1 | - | Unknown |
| LEO GP GMBH CRD: 330885 | - | 0 | 0 | - | Unknown |
| LEO Group, Inc. CRD: 29340 | - | 2 | 0 | B | INACTIVE |
| LEO Oppenheim & Co., Inc. CRD: 26219 | - | 0 | 0 | A | INACTIVE |
| LEO Oppenheim & Co., Inc. CRD: 6990 | - | 0 | 0 | A | INACTIVE |
| LEO Trading L.L.C CRD: 110159 | - | 1 | 0 | B | INACTIVE |
| LEO Wealth Americas, LLC CRD: 338799 | - | 0 | 5 | - | Unknown |
| LEO Wealth Management, LLC CRD: 337537 | - | 0 | 1 | - | Unknown |
| LEO Wealth, LLC CRD: 283891 | - | 0 | 23 | - | Unknown |
| Leon Capital Management, LLC CRD: 332987 | - | 0 | 1 | - | Unknown |
| Leonard & Company CRD: 36527 | - | 15 | 0 | D | INACTIVE |
| Leonard Advisory Group LLC CRD: 321165 | - | 0 | 3 | - | Unknown |
| Leonard B. FAY CPA CRD: 322752 | - | 0 | 0 | - | Unknown |
| Leonard B. FAY CPA CRD: 316176 | - | 0 | 1 | - | Unknown |
| Leonard Berger & Company CRD: 33167 | - | 0 | 0 | A | INACTIVE |
| Leonard Financial Group CRD: 147446 | - | 0 | 0 | - | Unknown |
| Leonard Green & Partners, L.P. CRD: 158164 | - | 0 | 1 | - | Unknown |
| Leonard Investment Advisors Inc. CRD: 116712 | - | 0 | 4 | - | Unknown |
| Leonard JR., Gary a. CRD: 162016 | - | 0 | 1 | - | Unknown |
| Leonard Rickey Investment Advisors, P.L.L.C. CRD: 116891 | - | 0 | 3 | - | Unknown |