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 |
|---|---|---|---|---|---|
| Antithesis Ventures Management Company LLC CRD: 343290 | - | 0 | 1 | - | Unknown |
| Antler Brasil Management I LLC CRD: 325918 | - | 0 | 0 | - | Unknown |
| Antler Capital Partners LLP CRD: 298123 | - | 0 | 0 | - | Unknown |
| Antler Innovation US LLC CRD: 315775 | - | 0 | 1 | - | Unknown |
| Antoine Wealth Management CRD: 318408 | - | 0 | 1 | - | Unknown |
| Antoine Williams & Associates Wealth Management, L… CRD: 312253 | - | 0 | 1 | - | Unknown |
| Anton Lemieux Financial Group CRD: 154631 | - | 0 | 0 | - | Unknown |
| Antone Asset Management, Inc CRD: 141468 | - | 0 | 1 | - | Unknown |
| Antonelli Financial Advisors, LLC CRD: 286452 | - | 0 | 1 | - | Unknown |
| Antonetti Capital Management, LLC CRD: 156551 | - | 0 | 2 | - | Unknown |
| Antonio Andrade, CFP CRD: 136312 | - | 0 | 1 | - | Unknown |
| Antonio Financial Group CRD: 158476 | - | 0 | 0 | - | Unknown |
| Antonio Gastelum, Inc. CRD: 164255 | - | 0 | 0 | - | Unknown |
| Antonio Stokes Advisors CRD: 313572 | - | 0 | 1 | - | Unknown |
| Antrim Investment Research CRD: 307904 | - | 0 | 1 | - | Unknown |
| Antunes International Investment Management CRD: 145703 | - | 0 | 1 | - | Unknown |
| Anubis Capital Advisors, Inc. CRD: 169068 | - | 0 | 0 | - | Unknown |
| Anubis Securities LLC CRD: 157642 | NY | 0 | 2 | A | Active |
| Anurag Misra Investments CRD: 164297 | - | 0 | 0 | - | Unknown |
| ANV Management, LLC CRD: 329682 | - | 0 | 1 | - | Unknown |
| Anvik Advisers LLC CRD: 143807 | - | 0 | 2 | - | Unknown |
| Anvil Investments, Inc. CRD: 326513 | - | 0 | 0 | - | Unknown |
| Anvil Partners Inc. CRD: 166779 | - | 0 | 0 | - | Unknown |
| Anvil Securities Corp. CRD: 21819 | - | 0 | 0 | A | INACTIVE |
| Anvil Securities Corporation CRD: 10086 | - | 0 | 0 | A | INACTIVE |
| Anvil Trading L.L.C. CRD: 128183 | - | 0 | 0 | A | INACTIVE |
| Anya Financial Planning, LLC CRD: 301749 | - | 0 | 0 | - | Unknown |
| ANZ Securities (USA) Inc. CRD: 18620 | - | 0 | 0 | A | INACTIVE |
| ANZ Securities (USA) Inc. CRD: 21325 | - | 0 | 0 | A | INACTIVE |
| ANZ Securities, Inc. CRD: 36654 | NY | 3 | 2 | B | Active |
| Anzhen Capital, LLC CRD: 283461 | - | 0 | 0 | - | Unknown |
| Anzu Industrial Capital Partners II GP, LLC CRD: 301242 | - | 0 | 0 | - | Unknown |
| Anzu Partners, LLC CRD: 288985 | - | 0 | 1 | - | Unknown |
| Anzus Capital LLC CRD: 140823 | - | 0 | 0 | A | INACTIVE |
| AO Asset Management, LP CRD: 170249 | - | 0 | 0 | - | Unknown |
| AO Wealth Advisory CRD: 288301 | - | 0 | 1 | - | Unknown |
| AOF Management LLC CRD: 170193 | - | 0 | 1 | - | Unknown |
| AOG Wealth Management CRD: 159026 | - | 0 | 0 | - | Unknown |
| AOK Consulting, Inc. CRD: 135964 | - | 0 | 0 | - | Unknown |
| AOM Capital Management CRD: 282927 | - | 0 | 0 | - | Unknown |
| AON Advantage Funds LLC CRD: 310335 | - | 0 | 0 | - | Unknown |
| AON Investments USA Inc. CRD: 105596 | - | 0 | 1 | - | Unknown |
| AON Retirement Plan Advisors, LLC CRD: 136462 | - | 0 | 0 | - | Unknown |
| AON Securities LLC CRD: 4138 | IL | 3 | 11 | B | Active |
| AOP Capital CRD: 309674 | - | 0 | 0 | - | Unknown |
| AOT Invest LLC CRD: 319016 | - | 0 | 1 | - | Unknown |
| AOT USA, LLC CRD: 43823 | - | 0 | 0 | A | INACTIVE |
| Aots Limited Partnership CRD: 47614 | - | 0 | 0 | A | INACTIVE |
| AP Asset Management (HK) Limited CRD: 162732 | - | 0 | 0 | - | Unknown |
| AP Asset Management Inc. CRD: 162731 | - | 0 | 0 | - | Unknown |