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 |
|---|---|---|---|---|---|
| LK Green CAP Management Ltd CRD: 322778 | - | 0 | 0 | - | Unknown |
| LK Wealth Management, LLC CRD: 168378 | - | 0 | 1 | - | Unknown |
| LK&A Investment Counsel CRD: 106635 | - | 0 | 2 | - | Unknown |
| LKB & Associates Ltd. CRD: 151789 | - | 0 | 0 | - | Unknown |
| LKL Advisors CRD: 336769 | - | 0 | 2 | - | Unknown |
| LKL Investment Counsel LLC CRD: 134406 | - | 0 | 0 | - | Unknown |
| LL Chandos & Co CRD: 25592 | - | 0 | 0 | A | INACTIVE |
| LL Financial Services, LLC CRD: 284517 | - | 0 | 1 | - | Unknown |
| LL Funds CRD: 161552 | - | 0 | 1 | - | Unknown |
| LL Investments Group LLC CRD: 149732 | - | 0 | 0 | - | Unknown |
| LL Partners, Inc. CRD: 32189 | - | 2 | 0 | B | INACTIVE |
| Llama Company CRD: 22440 | - | 4 | 0 | C | INACTIVE |
| Llevan Securities, Inc. CRD: 8590 | - | 0 | 0 | A | INACTIVE |
| Llewellyn Financial LLC CRD: 310834 | - | 0 | 1 | - | Unknown |
| LLG Wealth Management CRD: 289348 | - | 0 | 1 | - | Unknown |
| LLM Capital Partners LLC CRD: 163107 | - | 0 | 0 | - | Unknown |
| Lloyd Capital LLC CRD: 158668 | - | 0 | 0 | - | Unknown |
| Lloyd Financial Group LLC CRD: 335332 | - | 0 | 2 | - | Unknown |
| Lloyd G. Wilson Securities, Inc. CRD: 18510 | - | 0 | 0 | A | INACTIVE |
| Lloyd George Management (HK) Limited CRD: 226718 | - | 0 | 0 | - | Unknown |
| Lloyd Harbor Capital Management, LLC CRD: 304646 | - | 0 | 1 | - | Unknown |
| Lloyd M. Ebert & Associates CRD: 10333 | - | 0 | 0 | A | INACTIVE |
| Lloyd Park, LLC CRD: 174032 | - | 0 | 1 | - | Unknown |
| Lloyd Partridge and Associates CRD: 28288 | - | 0 | 0 | A | INACTIVE |
| Lloyd Securities, Inc. CRD: 1007 | - | 0 | 0 | A | INACTIVE |
| Lloyd Tevis Investments, LLC CRD: 289158 | - | 0 | 0 | - | Unknown |
| Lloyd Tevis Investments, LLC CRD: 323061 | - | 0 | 1 | - | Unknown |
| Lloyd Wade Securities Inc. CRD: 39653 | - | 15 | 0 | D | INACTIVE |
| Lloyd, Scott & Valenti, Ltd. CRD: 23640 | - | 4 | 0 | C | INACTIVE |
| Lloyds Bank PLC CRD: 161257 | - | 0 | 0 | - | Unknown |
| Lloyds Securities CRD: 154515 | NY | 0 | 2 | A | Active |
| LLR Management Holdco, L.P. CRD: 323438 | - | 0 | 1 | - | Unknown |
| LLR Management, L.P. CRD: 157588 | - | 0 | 0 | - | Unknown |
| LLR Walnut, L.P. CRD: 300267 | - | 0 | 0 | - | Unknown |
| LM + Co. Capital CRD: 154583 | - | 0 | 0 | A | INACTIVE |
| LM Advisors LLC CRD: 153940 | - | 0 | 1 | - | Unknown |
| LM Anderson Securities, LLC CRD: 30506 | - | 0 | 0 | A | INACTIVE |
| LM Capital Corporation CRD: 18368 | - | 0 | 0 | A | INACTIVE |
| LM Capital Group, LLC CRD: 120277 | - | 0 | 1 | - | Unknown |
| LM Consolidated Financial Corp. CRD: 789 | - | 0 | 0 | A | INACTIVE |
| LM GP Investors Manager, LLC CRD: 281250 | - | 0 | 1 | - | Unknown |
| LMB Family Office, LLC CRD: 341470 | - | 0 | 1 | - | Unknown |
| LMBL, LLC CRD: 329559 | - | 0 | 0 | - | Unknown |
| LMC Financial Services CRD: 136062 | - | 0 | 0 | - | Unknown |
| LMC Investments, Inc. CRD: 105351 | - | 0 | 1 | - | Unknown |
| LMCG Investments, LLC CRD: 149936 | - | 0 | 2 | - | Unknown |
| Lmdagg, L.L.C. CRD: 297340 | - | 0 | 1 | - | Unknown |
| LMF Amalgamated Planning, LLC CRD: 157362 | - | 0 | 0 | - | Unknown |
| LMG Special Opportunities Management LLC CRD: 288943 | - | 0 | 0 | - | Unknown |
| LMJ Capital LP CRD: 284932 | - | 0 | 0 | - | Unknown |