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 |
|---|---|---|---|---|---|
| Lifetime Planning, Inc. CRD: 111784 | - | 0 | 0 | - | Unknown |
| Lifetime Strategies, LLC CRD: 126348 | - | 0 | 1 | - | Unknown |
| Lifetime Wealth Advisors, LLC CRD: 173832 | - | 0 | 0 | - | Unknown |
| Lifetime Wealth Design LLC CRD: 165086 | - | 0 | 1 | - | Unknown |
| Lifetime Wealth Management P.C. CRD: 145492 | - | 0 | 3 | - | Unknown |
| Lifetime Wealth Management, LLC CRD: 147482 | - | 0 | 2 | - | Unknown |
| Lifetime Wealth Planning and Management, LLC CRD: 133399 | - | 0 | 0 | - | Unknown |
| Lifetrack Financial Advisors, LLC CRD: 152327 | - | 0 | 0 | - | Unknown |
| Lifetyme Financial Advisors, LLC CRD: 159809 | - | 0 | 2 | - | Unknown |
| Lifewater Wealth Management CRD: 307121 | - | 0 | 1 | - | Unknown |
| Lifewise Wealth Advisors CRD: 341748 | - | 0 | 1 | - | Unknown |
| Lifeworks Advisors, LLC CRD: 288255 | - | 0 | 36 | - | Unknown |
| Lift Asset Management CRD: 332481 | - | 0 | 1 | - | Unknown |
| Liftoff Financial Planning CRD: 298978 | - | 0 | 1 | - | Unknown |
| Liftout Capital CRD: 327583 | - | 0 | 1 | - | Unknown |
| Liftpoint Family Wealth Advisors, LLC CRD: 337973 | - | 0 | 2 | - | Unknown |
| Lifvest Inc. CRD: 281288 | - | 0 | 0 | - | Unknown |
| LIG Capital Management, LLC CRD: 130489 | - | 0 | 1 | - | Unknown |
| LIG Fund Management, LLC CRD: 328199 | - | 0 | 1 | - | Unknown |
| Ligature Quarterly Fund LLC CRD: 315657 | - | 0 | 1 | - | Unknown |
| Light AI, L.L.C. CRD: 296068 | - | 0 | 1 | - | Unknown |
| Light ARC Capital Management LLC CRD: 339985 | - | 0 | 1 | - | Unknown |
| Light Bridge Ventures Management LLC CRD: 294269 | - | 0 | 0 | - | Unknown |
| Light Bridge Ventures Management LLC CRD: 330986 | - | 0 | 1 | - | Unknown |
| Light Capital LLC CRD: 323373 | - | 0 | 1 | - | Unknown |
| Light Capital Management LLC CRD: 297161 | - | 0 | 1 | - | Unknown |
| Light Financial Services, Inc. CRD: 131678 | - | 0 | 1 | - | Unknown |
| Light Horse Securities, Inc CRD: 120242 | NY | 2 | 2 | B | Active |
| Light Lane Management CRD: 329647 | - | 0 | 0 | - | Unknown |
| Light RAY Ventures, LLC CRD: 328413 | - | 0 | 1 | - | Unknown |
| Light Securities CRD: 23660 | - | 2 | 0 | B | INACTIVE |
| Light SKY Macro LP CRD: 286571 | - | 0 | 0 | - | Unknown |
| Light Street Capital Management, LLC CRD: 155215 | - | 0 | 1 | - | Unknown |
| Light-Speed Trading, LLC. CRD: 47694 | - | 0 | 0 | A | INACTIVE |
| Lightbank CRD: 161454 | - | 0 | 0 | - | Unknown |
| Lightbank CRD: 319430 | - | 0 | 1 | - | Unknown |
| Lightbay Capital CRD: 288432 | - | 0 | 1 | - | Unknown |
| Lightbox Management Limited CRD: 285504 | - | 0 | 0 | - | Unknown |
| Lightcap Financial Group, LLC CRD: 334873 | - | 0 | 1 | - | Unknown |
| Lightcone Ventures CRD: 339044 | - | 0 | 1 | - | Unknown |
| Lighter Capital CRD: 175117 | - | 0 | 1 | - | Unknown |
| Lighthaven Capital Management LLC CRD: 156534 | - | 0 | 0 | - | Unknown |
| Lighthorse Asset Management (HK) Ltd CRD: 162894 | - | 0 | 0 | - | Unknown |
| Lighthorse Asset Management, LLC CRD: 145815 | - | 0 | 0 | - | Unknown |
| Lighthouse CRD: 330415 | - | 0 | 1 | - | Unknown |
| Lighthouse & Nexus Capital Homes, LLC CRD: 308176 | - | 0 | 0 | - | Unknown |
| Lighthouse Advisers, LLC CRD: 281793 | - | 0 | 0 | - | Unknown |
| Lighthouse Advisors LLC CRD: 288984 | - | 0 | 0 | - | Unknown |
| Lighthouse AMC Private Limited CRD: 333326 | - | 0 | 0 | - | Unknown |
| Lighthouse Brokerage and Financial Services, LLC CRD: 113519 | - | 0 | 0 | A | INACTIVE |