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 |
|---|---|---|---|---|---|
| LFN Advisors Inc. CRD: 169361 | - | 0 | 5 | - | Unknown |
| LFS RIA, LLC CRD: 153391 | - | 0 | 3 | - | Unknown |
| LFS Wealth Advisors CRD: 154223 | - | 0 | 0 | - | Unknown |
| LFT Securities, LLC CRD: 290210 | OH | 0 | 4 | A | Active |
| LG Advisory Group, LLC CRD: 284092 | - | 0 | 0 | - | Unknown |
| LG Financial Services, LLC CRD: 325340 | - | 0 | 1 | - | Unknown |
| LG Operating Company, LLC CRD: 285906 | - | 0 | 0 | - | Unknown |
| LG3 Capital Management, LLC CRD: 304471 | - | 0 | 1 | - | Unknown |
| LGA CRD: 300571 | - | 0 | 1 | - | Unknown |
| LGA Capital CRD: 282415 | MD | 0 | 2 | A | Active |
| LGBTQ Wealth Planning LLC CRD: 338553 | - | 0 | 1 | - | Unknown |
| Lgbtqinvest, LLC CRD: 317159 | - | 0 | 0 | - | Unknown |
| LGFM, LLC CRD: 301031 | - | 0 | 1 | - | Unknown |
| LGG Financial CRD: 305002 | - | 0 | 1 | - | Unknown |
| Lgim International Ltd CRD: 160966 | - | 0 | 0 | - | Unknown |
| LGK Advisors, LLC CRD: 154922 | - | 0 | 1 | - | Unknown |
| LGL Partners, LLC CRD: 289784 | - | 0 | 1 | - | Unknown |
| LGM Capital Management LLC CRD: 283872 | - | 0 | 1 | - | Unknown |
| LGM Investments CRD: 107494 | - | 0 | 0 | - | Unknown |
| LGM Investments CRD: 107507 | - | 0 | 0 | - | Unknown |
| LGS Securities, Inc. CRD: 11186 | - | 0 | 0 | A | INACTIVE |
| LGT Capital Partners (Asia-Pacific) Ltd. CRD: 175492 | - | 0 | 0 | - | Unknown |
| LGT Capital Partners (Ireland) Limited CRD: 162361 | - | 0 | 0 | - | Unknown |
| LGT Capital Partners (USA) Inc. CRD: 160437 | - | 0 | 1 | - | Unknown |
| LGT Capital Partners Ltd CRD: 162360 | - | 0 | 0 | - | Unknown |
| LGT Financial Advisors LLC CRD: 111575 | - | 0 | 1 | - | Unknown |
| LGT ILS Partners Ltd CRD: 175363 | - | 0 | 0 | - | Unknown |
| LGT Private Debt (France) CRD: 336208 | - | 0 | 0 | - | Unknown |
| LGT Wealth Management US Limited CRD: 164190 | - | 0 | 0 | - | Unknown |
| LGVP Management, LLC CRD: 319586 | - | 0 | 1 | - | Unknown |
| LH Capital Management, LLC CRD: 288414 | - | 0 | 0 | - | Unknown |
| LH Capital Markets, LLC CRD: 288866 | - | 0 | 0 | - | Unknown |
| LH Capital Partners CRD: 171607 | - | 0 | 0 | - | Unknown |
| LH Ross & Company, Inc. CRD: 37920 | - | 46 | 0 | F | INACTIVE |
| LH Wealth Management CRD: 324384 | - | 0 | 0 | - | Unknown |
| LHA Capital Partners CRD: 290980 | - | 0 | 1 | - | Unknown |
| LHG Advisory, LLC CRD: 326848 | - | 0 | 2 | - | Unknown |
| LHM Trading CRD: 47074 | - | 0 | 0 | A | INACTIVE |
| LHT Consultants CRD: 289780 | - | 0 | 0 | - | Unknown |
| LI Enterprises CRD: 322864 | - | 0 | 1 | - | Unknown |
| LI Wealth Management Inc CRD: 331924 | - | 0 | 1 | - | Unknown |
| Liang Capital Management, LLC CRD: 334844 | - | 0 | 1 | - | Unknown |
| Liati Capital, LLC CRD: 103958 | - | 1 | 0 | B | INACTIVE |
| Libauer Securities, Inc. CRD: 14747 | - | 0 | 0 | A | INACTIVE |
| Libbie Agran Financial Services & Seminars CRD: 110758 | - | 0 | 0 | - | Unknown |
| Liberate, Inc. CRD: 143772 | - | 0 | 0 | - | Unknown |
| Liberated Financial CRD: 329965 | - | 0 | 1 | - | Unknown |
| Liberated Investor Advisors, LLC CRD: 143672 | - | 0 | 1 | - | Unknown |
| Liberation Capital, LLC CRD: 163524 | - | 0 | 0 | - | Unknown |
| Liberton Financial LLC CRD: 285018 | - | 0 | 1 | - | Unknown |