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 |
|---|---|---|---|---|---|
| Locker Financial Services, LLC CRD: 120900 | - | 0 | 2 | - | Unknown |
| Locker ONE Ventures, LLC CRD: 318741 | - | 0 | 1 | - | Unknown |
| Lockerman Financial Group, Inc CRD: 316860 | - | 0 | 1 | - | Unknown |
| Lockhart Capital LLC CRD: 281104 | - | 0 | 0 | - | Unknown |
| Lockshield Partners, Inc. CRD: 175433 | - | 0 | 2 | - | Unknown |
| Lockstep Financial LLC CRD: 311865 | - | 0 | 2 | - | Unknown |
| Lockton Investment Advisors, LLC CRD: 144133 | - | 0 | 20 | - | Unknown |
| Lockton Investment Securities, LLC CRD: 137476 | KS | 0 | 4 | A | Active |
| Lockton RE Capital Markets, LLC CRD: 323110 | NY | 0 | 2 | A | Active |
| Lockwood Securities LLC CRD: 169735 | NY | 0 | 2 | A | Active |
| Lockwood Wealth Strategies, LLC CRD: 327781 | - | 0 | 1 | - | Unknown |
| Lockyer Investments CRD: 335643 | - | 0 | 2 | - | Unknown |
| Locorr Distributors, LLC CRD: 41782 | MN | 0 | 2 | A | Active |
| Locorr Fund Management, LLC CRD: 156247 | - | 0 | 1 | - | Unknown |
| Locus Capital CRD: 287630 | - | 0 | 0 | - | Unknown |
| Locus Investment Group, Ltd. CRD: 297940 | - | 0 | 0 | - | Unknown |
| Locus Wealth Management CRD: 338162 | - | 0 | 1 | - | Unknown |
| Locust Capital Management LLC CRD: 148148 | - | 0 | 0 | - | Unknown |
| Locust Global Asset Management, LLC CRD: 332159 | - | 0 | 0 | - | Unknown |
| Locust Lane Partners, LP CRD: 297237 | - | 0 | 0 | - | Unknown |
| Locust Point Capital CRD: 286689 | - | 0 | 1 | - | Unknown |
| Locust Street Securities, Inc. CRD: 1703 | - | 4 | 0 | C | INACTIVE |
| Locust Walk Impact Management, LLC CRD: 175391 | - | 0 | 0 | - | Unknown |
| Locust Walk Securities, LLC CRD: 156174 | MA | 0 | 2 | A | Active |
| Locust Wood Capital Advisers, LLC CRD: 135140 | - | 0 | 1 | - | Unknown |
| Lodas Securities, LLC CRD: 313056 | KS | 1 | 4 | B | Active |
| Lodbrok Capital LLP CRD: 286525 | - | 0 | 0 | - | Unknown |
| Lodestar Advisory Group, LLC CRD: 127591 | - | 0 | 2 | - | Unknown |
| Lodestar Asset Management LLC CRD: 157419 | - | 0 | 3 | - | Unknown |
| Lodestar Capital LLC CRD: 170665 | - | 0 | 0 | - | Unknown |
| Lodestar Financial Management, LLC CRD: 155689 | - | 0 | 1 | - | Unknown |
| Lodestar Investment Counsel, LLC CRD: 124647 | - | 0 | 0 | - | Unknown |
| Lodestar Partners, L.P. CRD: 24204 | - | 0 | 0 | A | INACTIVE |
| Lodestar Private Asset Management LLC CRD: 107638 | - | 0 | 2 | - | Unknown |
| Lodestar Securities Corp. CRD: 159532 | - | 0 | 0 | A | INACTIVE |
| Lodestar Securities Inc. CRD: 27989 | - | 0 | 0 | A | INACTIVE |
| Lodestar Wealth, LLC CRD: 308028 | - | 0 | 1 | - | Unknown |
| Lodestone Capital Solutions LLC CRD: 156520 | - | 0 | 2 | - | Unknown |
| Lodestone Wealth Management LLC CRD: 151115 | - | 0 | 4 | - | Unknown |
| Lodge Hill Capital, LLC CRD: 165973 | - | 0 | 1 | - | Unknown |
| Lodgepine Capital Management Limited CRD: 306516 | - | 0 | 0 | - | Unknown |
| Loeb Arbitrage Fund CRD: 16610 | - | 0 | 0 | A | INACTIVE |
| Loeb Partners CRD: 7534 | - | 0 | 0 | A | INACTIVE |
| Loeb Partners Corporation CRD: 10929 | - | 3 | 0 | C | INACTIVE |
| Loebmann, Bert N CRD: 33107 | - | 0 | 0 | A | INACTIVE |
| Loew's Securities Corp. CRD: 5838 | - | 0 | 0 | A | INACTIVE |
| Loewenbaum & Company Incorporated CRD: 26560 | - | 3 | 0 | C | INACTIVE |
| Lofoten Asset Management Ltd CRD: 284096 | - | 0 | 0 | - | Unknown |
| Lofoten Capital LLC CRD: 317384 | - | 0 | 0 | - | Unknown |
| Loft Growth Partners CRD: 294069 | - | 0 | 1 | - | Unknown |