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 |
|---|---|---|---|---|---|
| Live OAK Financial Management CRD: 168083 | - | 0 | 1 | - | Unknown |
| Live OAK III-B SPV, LP CRD: 334456 | - | 0 | 1 | - | Unknown |
| Live OAK Investment Partners CRD: 304406 | - | 0 | 3 | - | Unknown |
| Live OAK Partners CRD: 289169 | - | 0 | 0 | - | Unknown |
| Live OAK Private Wealth, LLC CRD: 297904 | - | 0 | 9 | - | Unknown |
| Live OAK Resource Partners CRD: 283858 | - | 0 | 1 | - | Unknown |
| Live OAK Wealth Advisory Group, LLC CRD: 154962 | - | 0 | 2 | - | Unknown |
| Live OAK Wealth Management, LLC CRD: 306225 | - | 0 | 3 | - | Unknown |
| Livelife Capital Partners LLC CRD: 290008 | - | 0 | 2 | - | Unknown |
| Livelihood LLC CRD: 301645 | - | 0 | 7 | - | Unknown |
| Livello Capital Management LP CRD: 305403 | - | 0 | 1 | - | Unknown |
| Lively Financial LLC CRD: 324940 | - | 0 | 1 | - | Unknown |
| Lively Wealth, LLC CRD: 320963 | - | 0 | 0 | - | Unknown |
| Liveoak Management Services, LLC CRD: 166879 | - | 0 | 1 | - | Unknown |
| Livermore Trading Group, Inc. CRD: 32968 | NY | 2 | 1 | B | Active |
| Livery Lane Capital LLC CRD: 297097 | - | 0 | 1 | - | Unknown |
| Livet Wealth, LLC CRD: 337826 | - | 0 | 1 | - | Unknown |
| Livevol Securities, Inc. CRD: 23670 | - | 3 | 0 | C | INACTIVE |
| Livian & Co. CRD: 153771 | - | 0 | 2 | - | Unknown |
| Living Earth Investments, LLC CRD: 146604 | - | 0 | 1 | - | Unknown |
| Living Room Wealth Management CRD: 116014 | - | 0 | 1 | - | Unknown |
| Living the Dream Capital Management, LLC CRD: 329620 | - | 0 | 0 | - | Unknown |
| Livingbridge Australia PTY Limited CRD: 302117 | - | 0 | 0 | - | Unknown |
| Livingbridge Enterprise LLP CRD: 288090 | - | 0 | 0 | - | Unknown |
| Livingbridge EP LLP CRD: 160244 | - | 0 | 0 | - | Unknown |
| Livingfree Securities, LLC CRD: 325166 | IL | 0 | 3 | A | Active |
| Livingston & Associates, Ltd. CRD: 122011 | - | 0 | 2 | - | Unknown |
| Livingston & Haynes Investment Advisors, Inc. CRD: 108287 | - | 0 | 0 | - | Unknown |
| Livingston & Jefferson Inc CRD: 107044 | - | 0 | 0 | - | Unknown |
| Livingston & Ruthenberg Securities,Inc. CRD: 14510 | - | 0 | 0 | A | INACTIVE |
| Livingston Capital Advisors, LLC CRD: 308508 | - | 0 | 1 | - | Unknown |
| Livingston Capital Investors, LLC CRD: 116266 | - | 0 | 0 | A | INACTIVE |
| Livingston Financial Planning, Inc. CRD: 128246 | - | 0 | 3 | - | Unknown |
| Livingston Monroe Capital Group Inc. CRD: 31228 | - | 3 | 0 | C | INACTIVE |
| Livingston Securities, Inc. CRD: 16455 | - | 0 | 0 | A | INACTIVE |
| Livingston Securities, LLC CRD: 147364 | NY | 0 | 2 | A | Active |
| Livingston Wealth Advisory CRD: 336849 | - | 0 | 1 | - | Unknown |
| Livingston, Gentry Inc. CRD: 10930 | - | 0 | 0 | A | INACTIVE |
| Livon Securities, Incorporated CRD: 13635 | - | 0 | 0 | A | INACTIVE |
| Liwa Capital Advisors Ltd. CRD: 285951 | - | 0 | 0 | - | Unknown |
| Lizard Investors LLC CRD: 147284 | - | 0 | 1 | - | Unknown |
| Lizen Asset Management Limited CRD: 309259 | - | 0 | 0 | - | Unknown |
| LJ Ventures Fund II Partners LLC CRD: 309035 | - | 0 | 0 | - | Unknown |
| LJI Wealth Management, LLC CRD: 145399 | - | 0 | 10 | - | Unknown |
| LJL, LLC CRD: 36441 | - | 0 | 0 | A | INACTIVE |
| LJM Funds Management, Ltd. CRD: 164799 | - | 0 | 0 | - | Unknown |
| LJPR Financial Advisors CRD: 105895 | - | 0 | 0 | - | Unknown |
| LJS Capital, LLC CRD: 148869 | - | 0 | 0 | A | INACTIVE |
| LJV Management Company, LLC CRD: 319782 | - | 0 | 1 | - | Unknown |
| LK Financial Planning LLC CRD: 160539 | - | 0 | 2 | - | Unknown |