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 |
|---|---|---|---|---|---|
| Lionhunter Capital Management, LLC CRD: 226782 | - | 0 | 0 | - | Unknown |
| Lionlight Capital, L.P. CRD: 342659 | - | 0 | 1 | - | Unknown |
| Lionrock Capital (Cayman) Limited CRD: 161745 | - | 0 | 0 | - | Unknown |
| Lions Financial Advisory CRD: 309032 | - | 0 | 1 | - | Unknown |
| Lions Gate Sovereign Capital, LLC CRD: 134781 | - | 0 | 1 | - | Unknown |
| Lions Wealth Management CRD: 300393 | - | 0 | 3 | - | Unknown |
| Lionsbridge Wealth Management LLC CRD: 149019 | - | 0 | 1 | - | Unknown |
| Lionschain Capital Management LLC CRD: 304212 | - | 0 | 0 | - | Unknown |
| Lionscrest Advisors CRD: 317574 | - | 0 | 0 | - | Unknown |
| Lionscrest Bahamas GP Ltd CRD: 325566 | - | 0 | 0 | - | Unknown |
| Lionsgate Investments, Inc. CRD: 172092 | - | 0 | 0 | - | Unknown |
| Lionshare Partners LLC CRD: 290138 | - | 0 | 0 | - | Unknown |
| Lionshare Traders, LLC CRD: 44223 | - | 0 | 0 | A | INACTIVE |
| Lionshares LLC CRD: 335459 | - | 0 | 1 | - | Unknown |
| Lionshead Wealth Management, LLC CRD: 288526 | - | 0 | 1 | - | Unknown |
| Lionsight Capital, LLC CRD: 163757 | - | 0 | 1 | - | Unknown |
| Lionsoul Global Advisors CRD: 324883 | - | 0 | 0 | - | Unknown |
| Lionstone Capital Management LLC CRD: 157603 | - | 0 | 1 | - | Unknown |
| Lionstone Investments CRD: 160214 | - | 0 | 1 | - | Unknown |
| Liontree Advisors LLC CRD: 164399 | NY | 0 | 3 | A | Active |
| Liontree Investment Management, LLC CRD: 315628 | - | 0 | 1 | - | Unknown |
| Liontree Partners LLC CRD: 289817 | - | 0 | 1 | - | Unknown |
| Liontrust Investment Partners LLP CRD: 160340 | - | 0 | 0 | - | Unknown |
| Liontrust Portfolio Management Limited CRD: 284796 | - | 0 | 0 | - | Unknown |
| Lipari Partners Inc. CRD: 140817 | - | 0 | 0 | A | INACTIVE |
| Lipe & Dalton Investment Counsel CRD: 132737 | - | 0 | 1 | - | Unknown |
| Lipke Associates, Inc. CRD: 2587 | - | 0 | 0 | A | INACTIVE |
| Lipper & Company, L.P. CRD: 30161 | - | 0 | 0 | A | INACTIVE |
| Lipper Analytical Securities Corporation CRD: 6837 | - | 1 | 0 | B | INACTIVE |
| Lipper Convertibles Series II, L.P. CRD: 45041 | - | 0 | 0 | A | INACTIVE |
| Lipper Convertibles, L.P. CRD: 16825 | - | 0 | 0 | A | INACTIVE |
| Lipper Offshore Convertibles, L.P. CRD: 34903 | - | 0 | 0 | A | INACTIVE |
| Lipscomb Investment Group, LLC CRD: 131869 | - | 0 | 2 | - | Unknown |
| Liptay Capital, LLC CRD: 152132 | - | 0 | 0 | - | Unknown |
| Lipton Capital Corporation CRD: 14125 | - | 0 | 0 | A | INACTIVE |
| Lipton, Alesi & Co., Inc. CRD: 33042 | - | 0 | 0 | A | INACTIVE |
| Liquid 2 Ventures, LLC CRD: 305376 | - | 0 | 1 | - | Unknown |
| Liquid Alternative Securities, Inc. CRD: 43521 | - | 0 | 0 | A | INACTIVE |
| Liquid Capital Management LLC CRD: 299577 | - | 0 | 1 | - | Unknown |
| Liquid Capital Markets, LLC CRD: 148368 | - | 4 | 0 | C | INACTIVE |
| Liquid Capital Securities, LLC CRD: 148758 | - | 0 | 0 | A | INACTIVE |
| Liquid Fiat Management, LLC CRD: 293786 | - | 0 | 0 | - | Unknown |
| Liquid Strategies, LLC CRD: 170107 | - | 0 | 1 | - | Unknown |
| Liquid Value GP Limited CRD: 317744 | - | 0 | 0 | - | Unknown |
| Liquidax Capital, LLC CRD: 173042 | - | 0 | 0 | - | Unknown |
| Liquidifi CRD: 323922 | - | 0 | 2 | - | Unknown |
| Liquidity Assets, Inc. CRD: 10374 | - | 0 | 0 | A | INACTIVE |
| Liquidity Capital M.C. Ltd CRD: 317469 | - | 0 | 0 | - | Unknown |
| Liquidity Finance LP CRD: 167568 | - | 0 | 0 | A | INACTIVE |
| Liquidity Management LLC CRD: 104166 | - | 0 | 0 | A | INACTIVE |