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 |
|---|---|---|---|---|---|
| LIQUIDITY.IO, LLC CRD: 289499 | FL | 0 | 2 | A | Active |
| Liquidityedge, LLC CRD: 174297 | - | 0 | 0 | A | INACTIVE |
| Liquidly IAS, LLC CRD: 299963 | NY | 0 | 1 | A | Active |
| Liquidmetal Ventures Management LLC CRD: 323194 | - | 0 | 0 | - | Unknown |
| Liquidnet, Inc. CRD: 103987 | NY | 11 | 2 | D | Active |
| Liquidpoint, LLC CRD: 47658 | - | 7 | 0 | D | INACTIVE |
| Liquifi LLC CRD: 335263 | MO | 0 | 1 | A | Active |
| Liquivest, Inc. CRD: 136816 | - | 0 | 0 | A | INACTIVE |
| Liriano Wealth Advisory Group, LLC CRD: 336843 | - | 0 | 1 | - | Unknown |
| LIS Inc CRD: 289168 | - | 0 | 1 | - | Unknown |
| Lisa B. Weinstein CPA, P.C. CRD: 118840 | - | 0 | 0 | - | Unknown |
| Lisa N. Clarke CPA LLC CRD: 284101 | - | 0 | 0 | - | Unknown |
| Lisanti Capital Growth LLC CRD: 130023 | - | 0 | 1 | - | Unknown |
| Lisc Fund Management, LLC CRD: 304733 | - | 0 | 1 | - | Unknown |
| Lisch Investment Management LLC CRD: 127753 | - | 0 | 3 | - | Unknown |
| Liska Investments LLC CRD: 304252 | - | 0 | 2 | - | Unknown |
| Liss Financial Services CRD: 21950 | - | 16 | 0 | D | INACTIVE |
| Liss Tenner & Goldberg Securities Corporation CRD: 8173 | - | 0 | 0 | A | INACTIVE |
| Listen LLC CRD: 298352 | - | 0 | 1 | - | Unknown |
| LIT America, Inc. CRD: 22381 | - | 0 | 0 | A | INACTIVE |
| LIT Securities, Inc. CRD: 20070 | - | 0 | 0 | A | INACTIVE |
| Litchfield Financial Corp. CRD: 17616 | - | 0 | 0 | A | INACTIVE |
| Litespeed Management, L.L.C. CRD: 138539 | - | 0 | 0 | - | Unknown |
| Litfund CRD: 330517 | - | 0 | 1 | - | Unknown |
| Litman Gregory Wealth Management, LLC CRD: 107611 | - | 0 | 0 | - | Unknown |
| Litmore CRD: 169388 | - | 0 | 0 | - | Unknown |
| Litorina Capital Advisors AB CRD: 162376 | - | 0 | 0 | - | Unknown |
| Litorina Partners IV Limited CRD: 162137 | - | 0 | 0 | - | Unknown |
| Litorina V Advisor AB CRD: 293707 | - | 0 | 0 | - | Unknown |
| Litquidity Venture Partners I GP LLC CRD: 328579 | - | 0 | 1 | - | Unknown |
| Little and Company CRD: 7821 | - | 1 | 0 | B | INACTIVE |
| Little Harbor Advisors, LLC CRD: 168700 | - | 0 | 2 | - | Unknown |
| Little House Capital, LLC CRD: 290070 | - | 0 | 5 | - | Unknown |
| Little Point Capital, LLC CRD: 154066 | - | 0 | 1 | - | Unknown |
| Little River Capital Partners, LP CRD: 331057 | - | 0 | 1 | - | Unknown |
| Little River Capital, LLC CRD: 118917 | AL | 0 | 2 | A | Active |
| Little Shane Trading LLC CRD: 44832 | - | 0 | 0 | A | INACTIVE |
| Little Still CRD: 319186 | - | 0 | 0 | - | Unknown |
| Little Woods Capital Advisors, LLC. CRD: 171356 | - | 0 | 0 | - | Unknown |
| Littlefield Asset Management, Inc. CRD: 109602 | - | 0 | 1 | - | Unknown |
| Littlejohn & Co., LLC CRD: 156720 | - | 0 | 1 | - | Unknown |
| Littlejohn Financial Services Inc CRD: 155113 | - | 0 | 2 | - | Unknown |
| Litton Financial CRD: 113063 | - | 0 | 0 | - | Unknown |
| Litvak Wealth, LLC CRD: 170805 | - | 0 | 1 | - | Unknown |
| Litwin Securities Inc. CRD: 10060 | - | 0 | 0 | A | INACTIVE |
| LIV Wealth Management CRD: 334397 | - | 0 | 1 | - | Unknown |
| Live and Give Financial CRD: 328352 | - | 0 | 1 | - | Unknown |
| Live OAK Advisors, LLC CRD: 118417 | - | 0 | 2 | - | Unknown |
| Live OAK Capital Securities, Inc. CRD: 112583 | - | 0 | 0 | A | INACTIVE |
| Live OAK Family Offices LLC CRD: 141570 | - | 0 | 0 | - | Unknown |