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 |
|---|---|---|---|---|---|
| Loftin Wealth Partners CRD: 305359 | - | 0 | 1 | - | Unknown |
| Loftus Capital Partners, LLC CRD: 339552 | - | 0 | 1 | - | Unknown |
| Loftus Investment Advisors CRD: 113820 | - | 0 | 0 | - | Unknown |
| Loftus Wealth Strategies CRD: 316582 | - | 0 | 1 | - | Unknown |
| Loftyinc Capital CRD: 331805 | - | 0 | 1 | - | Unknown |
| Logan Circle Partners, L.P. CRD: 143633 | - | 0 | 0 | - | Unknown |
| Logan Financial Empowerment CRD: 315261 | - | 0 | 1 | - | Unknown |
| Logan Financial Planning LLC CRD: 167684 | - | 0 | 3 | - | Unknown |
| Logan Park Wealth Management CRD: 299007 | - | 0 | 1 | - | Unknown |
| Logan Rock CRD: 42691 | - | 2 | 0 | B | INACTIVE |
| Logan Stone CRD: 311547 | - | 0 | 1 | - | Unknown |
| Logbook Financial Planning, LLC CRD: 286100 | - | 0 | 1 | - | Unknown |
| Logen Asset Management LP CRD: 226645 | - | 0 | 0 | - | Unknown |
| Logic Capital Management, LLC CRD: 137902 | - | 0 | 0 | - | Unknown |
| Logic Wealth Management, LLC CRD: 153453 | - | 0 | 1 | - | Unknown |
| Logica Capital Advisers, LLC CRD: 168906 | - | 0 | 1 | - | Unknown |
| Logical Investments, LLC CRD: 155428 | - | 0 | 2 | - | Unknown |
| Logiq Capital LLC CRD: 337680 | - | 0 | 1 | - | Unknown |
| Logistics Technology Solutions LLC CRD: 311753 | - | 0 | 1 | - | Unknown |
| Logix Investments LLC CRD: 288382 | - | 0 | 6 | - | Unknown |
| Logos Financial Group CRD: 321110 | - | 0 | 0 | - | Unknown |
| Logos Global Management, L.P. CRD: 305162 | - | 0 | 1 | - | Unknown |
| Logos Venture CRD: 311439 | - | 0 | 0 | - | Unknown |
| Lograno & Co., Inc. CRD: 46389 | - | 0 | 0 | A | INACTIVE |
| Lohman, Michael Floyd CRD: 146440 | - | 0 | 0 | A | INACTIVE |
| Lois Fife Financial, Inc. CRD: 19458 | - | 0 | 0 | A | INACTIVE |
| Lokken Investment Group, LLC CRD: 283696 | - | 0 | 0 | - | Unknown |
| Lokoya Advisors LLC CRD: 128706 | - | 0 | 0 | A | INACTIVE |
| Lokoya Capital Management LP CRD: 313747 | - | 0 | 0 | - | Unknown |
| LOL Investment Manager LLC CRD: 314380 | - | 0 | 0 | - | Unknown |
| Lola Capital Partners, LLC CRD: 336016 | - | 0 | 1 | - | Unknown |
| LOM Clearing Corp. CRD: 30615 | - | 0 | 0 | A | INACTIVE |
| Lomas & Nettleton Securities Corporation CRD: 13973 | - | 0 | 0 | A | INACTIVE |
| Lomas Capital Management LLC CRD: 163985 | - | 0 | 0 | - | Unknown |
| Lomax Trading L.L.C. CRD: 120212 | - | 0 | 0 | A | INACTIVE |
| Lombard CRD: 157418 | - | 0 | 0 | - | Unknown |
| Lombard Advisers Incorporated CRD: 108231 | - | 0 | 36 | - | Unknown |
| Lombard Institutional Brokerage Inc. CRD: 18991 | - | 0 | 0 | A | INACTIVE |
| Lombard Investment Services, Inc. CRD: 31293 | - | 0 | 0 | A | INACTIVE |
| Lombard Odier Asset Management (USA) Corp CRD: 153582 | - | 0 | 1 | - | Unknown |
| Lombard Odier Darier Hentsch Securities, Inc. CRD: 46046 | - | 0 | 0 | A | INACTIVE |
| Lombard Odier Transatlantic Limited CRD: 6318 | - | 1 | 0 | B | INACTIVE |
| Lombard Odier Transatlantic Limitied CRD: 290671 | - | 0 | 0 | - | Unknown |
| Lombard Securities Corp. CRD: 13914 | - | 0 | 0 | A | INACTIVE |
| Lombard Securities,Inc. CRD: 14466 | - | 0 | 0 | A | INACTIVE |
| Lombard Street Capital Management GP, LLC CRD: 333031 | - | 0 | 1 | - | Unknown |
| Lombard Street Partners, LLC CRD: 140248 | - | 0 | 0 | - | Unknown |
| Lombardi & Co., Inc. CRD: 44810 | - | 3 | 0 | C | INACTIVE |
| Lombardi Wealth Advisors LLC CRD: 311393 | - | 0 | 0 | - | Unknown |
| Lombardia Capital Partners, LLC CRD: 105682 | - | 0 | 0 | - | Unknown |