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 |
|---|---|---|---|---|---|
| Lightsquare Wealth Management, LLC CRD: 324958 | - | 0 | 2 | - | Unknown |
| Lightstone Capital Advisers, LLC CRD: 150350 | - | 0 | 0 | - | Unknown |
| Lightstone Securities, LLC CRD: 132596 | - | 1 | 0 | B | INACTIVE |
| Lightstone Singapore PTE. Ltd. CRD: 287666 | - | 0 | 0 | - | Unknown |
| Lightstone Ventures CRD: 168121 | - | 0 | 1 | - | Unknown |
| Lightstone Wealth Planning Solutions, LLC CRD: 324071 | - | 0 | 0 | - | Unknown |
| Lightswitch Capital Management, L.P. CRD: 319223 | - | 0 | 1 | - | Unknown |
| Lightview Capital, LLC CRD: 306106 | - | 0 | 1 | - | Unknown |
| Lightyear Capital LLC CRD: 156781 | - | 0 | 1 | - | Unknown |
| Ligonier Capital Company LLC CRD: 158317 | - | 0 | 0 | - | Unknown |
| Lihtc Securities, LLC CRD: 13178 | - | 2 | 0 | B | INACTIVE |
| Lijaro Asset Management CRD: 309656 | - | 0 | 0 | - | Unknown |
| Likely Capital Management, LLC CRD: 316379 | - | 0 | 1 | - | Unknown |
| Lilac Street Capital CRD: 316567 | - | 0 | 0 | - | Unknown |
| Lilac Wealth, LLC CRD: 338463 | - | 0 | 2 | - | Unknown |
| Lilani Wealth Management CRD: 143125 | - | 0 | 0 | - | Unknown |
| Lilium Group CRD: 317404 | - | 0 | 1 | - | Unknown |
| Lillehei Investments, Inc. CRD: 127579 | - | 0 | 0 | - | Unknown |
| Lilliano Capital Management LLC CRD: 339106 | - | 0 | 1 | - | Unknown |
| Lilly Ventures CRD: 165640 | - | 0 | 1 | - | Unknown |
| LIM Advisors Limited CRD: 159888 | - | 0 | 0 | - | Unknown |
| LIM Fund Management, LLC CRD: 304867 | - | 0 | 0 | - | Unknown |
| LIM, Inc CRD: 39885 | - | 0 | 0 | A | INACTIVE |
| Limber Capital LLC CRD: 299315 | - | 0 | 1 | - | Unknown |
| Lime Advisory Corp. CRD: 299280 | - | 0 | 0 | - | Unknown |
| Lime Rock CRD: 157127 | - | 0 | 1 | - | Unknown |
| Lime Rock Investment Management Company, Inc. CRD: 322364 | - | 0 | 2 | - | Unknown |
| Lime Trading Corp CRD: 11826 | NY | 4 | 2 | B | Active |
| Lime Tree Capital Partners Limited CRD: 163594 | - | 0 | 0 | - | Unknown |
| Limehouse Wealth Management LLC CRD: 335227 | - | 0 | 1 | - | Unknown |
| Limekiln Real Estate Investment Management, LP CRD: 297109 | - | 0 | 1 | - | Unknown |
| Limeral Research CRD: 340807 | - | 0 | 1 | - | Unknown |
| Limerick Financial Group, LLC CRD: 141128 | - | 0 | 2 | - | Unknown |
| Limerston Capital LLP CRD: 288513 | - | 0 | 0 | - | Unknown |
| Limestone Capital Advisers, LLC CRD: 158447 | - | 0 | 0 | - | Unknown |
| Limestone Capital Advisors, LLC CRD: 167532 | - | 0 | 0 | - | Unknown |
| Limestone Value Partners, LLC CRD: 152510 | - | 0 | 0 | - | Unknown |
| Limetree Capital Advisors Limited CRD: 336147 | - | 0 | 0 | - | Unknown |
| Limetree Capital Partners Holdings Limited CRD: 163593 | - | 0 | 0 | - | Unknown |
| Limiar Capital Management LLC CRD: 288622 | - | 0 | 0 | - | Unknown |
| Limited Edition Capital LLC CRD: 327955 | - | 0 | 1 | - | Unknown |
| Limited Risk Investors, Inc. CRD: 20274 | - | 0 | 0 | A | INACTIVE |
| Limited Supply Securities, Inc. CRD: 30758 | - | 0 | 0 | A | INACTIVE |
| Limitless Capital Management, Inc. CRD: 158646 | - | 0 | 1 | - | Unknown |
| Limitrader Securities, Inc. CRD: 22587 | - | 0 | 0 | A | INACTIVE |
| Limmat Capital Alternative Investments AG CRD: 319497 | - | 0 | 0 | - | Unknown |
| Limulus Venture Partners CRD: 301886 | - | 0 | 1 | - | Unknown |
| LIN & Company, LLC CRD: 164887 | - | 0 | 2 | - | Unknown |
| LIN Capital Management, LLC CRD: 153301 | - | 0 | 1 | - | Unknown |
| LIN-C Financial Planning CRD: 129525 | - | 0 | 0 | - | Unknown |