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 |
|---|---|---|---|---|---|
| LMK Capital Management, LLC CRD: 160337 | - | 0 | 1 | - | Unknown |
| LMM Investments, Inc. CRD: 36657 | - | 0 | 0 | A | INACTIVE |
| LMNT Management, LLC CRD: 325782 | - | 0 | 1 | - | Unknown |
| LMNT Ventures GP, LLC CRD: 341691 | - | 0 | 1 | - | Unknown |
| LMPG Wealth Advisors, LLC CRD: 328251 | - | 0 | 2 | - | Unknown |
| LMR Partners (Difc) Limited CRD: 324092 | - | 0 | 0 | - | Unknown |
| LMR Partners (Ireland) Limited CRD: 331291 | - | 0 | 0 | - | Unknown |
| LMR Partners AG CRD: 316468 | - | 0 | 0 | - | Unknown |
| LMR Partners Limited CRD: 282637 | - | 0 | 0 | - | Unknown |
| LMR Partners LLC CRD: 292183 | - | 0 | 1 | - | Unknown |
| LMR Partners LLP CRD: 159639 | - | 0 | 0 | - | Unknown |
| LMS Securities L.L.C. CRD: 135771 | - | 0 | 0 | A | INACTIVE |
| LMV Capital Corp. CRD: 148745 | NY | 0 | 2 | A | Active |
| LN Capital Management LLC CRD: 304371 | - | 0 | 1 | - | Unknown |
| LN Securities, Inc. CRD: 2554 | - | 1 | 0 | B | INACTIVE |
| LNB Financial LLC CRD: 338173 | - | 0 | 1 | - | Unknown |
| LNC Partners CRD: 319581 | - | 0 | 1 | - | Unknown |
| LNG Capital LLP CRD: 166165 | - | 0 | 0 | - | Unknown |
| LNK Partners, LLC CRD: 157725 | - | 0 | 1 | - | Unknown |
| LNW CRD: 113400 | - | 0 | 0 | - | Unknown |
| LNW CRD: 107341 | - | 0 | 26 | - | Unknown |
| LNW Investments, Inc. CRD: 14075 | - | 0 | 0 | A | INACTIVE |
| LNZ Capital LP CRD: 281475 | - | 0 | 0 | - | Unknown |
| LO, Ming CRD: 152743 | - | 0 | 0 | - | Unknown |
| Loam Advisory CRD: 335731 | - | 0 | 1 | - | Unknown |
| Loancore Capital Credit Advisor LLC CRD: 293737 | - | 0 | 1 | - | Unknown |
| Loancore Capital, LLC CRD: 163171 | - | 0 | 0 | - | Unknown |
| Loanz Advisors, LLC CRD: 173640 | - | 0 | 0 | - | Unknown |
| Loba Capital Management LLC CRD: 335176 | - | 0 | 1 | - | Unknown |
| Lobby Capital and August Capital CRD: 160586 | - | 0 | 1 | - | Unknown |
| Lobnek Wealth Management Inc. CRD: 284024 | - | 0 | 0 | - | Unknown |
| Lobo Securities, Inc. CRD: 28242 | - | 1 | 0 | B | INACTIVE |
| Lobster Capital, LLC CRD: 325744 | - | 0 | 0 | - | Unknown |
| LOC Investment Advisers CRD: 105708 | - | 0 | 0 | - | Unknown |
| Local Asset Management LLC CRD: 331711 | - | 0 | 1 | - | Unknown |
| Local Capital Partners LLC CRD: 290878 | - | 0 | 1 | - | Unknown |
| Local Globe VII GP Limited CRD: 286685 | - | 0 | 0 | - | Unknown |
| Local Wealth Advisors CRD: 336279 | - | 0 | 1 | - | Unknown |
| Localglobe Viii GP Limited CRD: 286687 | - | 0 | 0 | - | Unknown |
| Localglobe X GP Limited CRD: 300880 | - | 0 | 0 | - | Unknown |
| Localshares Investments CRD: 167944 | - | 0 | 0 | - | Unknown |
| Localstake Marketplace LLC CRD: 162726 | - | 0 | 0 | A | INACTIVE |
| Lochrane Trading L.L.C. CRD: 125322 | - | 0 | 0 | A | INACTIVE |
| Loci Capital Group, LLC CRD: 318484 | - | 0 | 1 | - | Unknown |
| Lock 8 Partners CRD: 319731 | - | 0 | 1 | - | Unknown |
| Lock Wealth Management CRD: 333242 | - | 0 | 1 | - | Unknown |
| Lockbox Capital, LLC CRD: 166634 | - | 0 | 0 | - | Unknown |
| Locke Asset Management CRD: 286132 | - | 0 | 1 | - | Unknown |
| Locke Partners Investment Manager LLC CRD: 163847 | - | 0 | 0 | - | Unknown |
| Lockebridge Partners, Inc CRD: 143163 | MA | 0 | 2 | A | Active |