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 |
|---|---|---|---|---|---|
| Apex Capital Management, L.L.C. CRD: 117059 | - | 0 | 3 | - | Unknown |
| Apex Capital Management, LLC CRD: 316216 | - | 0 | 0 | - | Unknown |
| Apex Capital, L.L.C. CRD: 40803 | - | 0 | 0 | A | INACTIVE |
| Apex Clearing Corporation CRD: 13071 | TX | 57 | 6 | F | Active |
| Apex Fiduciary Advisors LLC CRD: 313555 | - | 0 | 1 | - | Unknown |
| Apex Financial Advisors, Inc CRD: 155210 | - | 0 | 0 | - | Unknown |
| Apex Financial Ltd CRD: 342652 | - | 0 | 1 | - | Unknown |
| Apex Financial Partners, LLC CRD: 308058 | - | 0 | 0 | - | Unknown |
| Apex Financial Services, LLC CRD: 152931 | - | 0 | 0 | - | Unknown |
| Apex Fintech Brokerage Services CRD: 305818 | TX | 0 | 4 | A | Active |
| Apex Harbour Partners, LLC CRD: 343056 | - | 0 | 1 | - | Unknown |
| Apex Investment Advisors CRD: 130326 | - | 0 | 0 | - | Unknown |
| Apex Investment Group CRD: 44313 | - | 0 | 0 | A | INACTIVE |
| Apex Investment Group CRD: 333593 | - | 0 | 4 | - | Unknown |
| Apex Investments Management US, LLC CRD: 322874 | - | 0 | 1 | - | Unknown |
| Apex Investments Management, S.A. CRD: 323044 | - | 0 | 0 | - | Unknown |
| Apex Quantitative Group, LLC CRD: 333956 | - | 0 | 1 | - | Unknown |
| Apex Real Estate Advisors, LLC CRD: 45098 | - | 1 | 0 | B | INACTIVE |
| Apex Research and Investments, LLC CRD: 121643 | - | 0 | 2 | - | Unknown |
| Apex Retirement Advisors, LLC CRD: 331916 | - | 0 | 1 | - | Unknown |
| Apex Strategic Wealth, LLC CRD: 308569 | - | 0 | 1 | - | Unknown |
| Apex TAX & Financial Planning CRD: 310747 | - | 0 | 1 | - | Unknown |
| Apex Venture Partners CRD: 161227 | - | 0 | 0 | - | Unknown |
| Apex Wealth Advisors LLC CRD: 316564 | - | 0 | 2 | - | Unknown |
| Apex Wealth Management CRD: 288456 | - | 0 | 1 | - | Unknown |
| Apex Wealth Management, LLC CRD: 119812 | - | 0 | 0 | - | Unknown |
| Apex Wealth Management, LLC CRD: 317091 | - | 0 | 1 | - | Unknown |
| Apex Wealth Management, LLC CRD: 159585 | - | 0 | 1 | - | Unknown |
| Apexedge LLC CRD: 339077 | - | 0 | 1 | - | Unknown |
| Apexes Management Ltd CRD: 338468 | - | 0 | 1 | - | Unknown |
| Apexinvest Markets LLC CRD: 328777 | NY | 0 | 2 | A | Active |
| Apexium Financial LP CRD: 283726 | - | 0 | 0 | - | Unknown |
| Apexium Securities Ltd CRD: 340985 | - | 0 | 1 | - | Unknown |
| Apexone Realty Advisors, LLC CRD: 284117 | - | 0 | 0 | - | Unknown |
| Apexus Capital LLC CRD: 281779 | CA | 0 | 2 | A | Active |
| Apfel & Company, Inc. CRD: 18239 | - | 0 | 0 | A | INACTIVE |
| Apforia CRD: 327176 | - | 0 | 8 | - | Unknown |
| APG Asset Management US, Inc CRD: 160795 | - | 0 | 1 | - | Unknown |
| APH GP LP CRD: 281920 | - | 0 | 0 | - | Unknown |
| APH I GP LP CRD: 330162 | - | 0 | 0 | - | Unknown |
| APH II Corporation CRD: 300535 | - | 0 | 0 | - | Unknown |
| APH III GP LP CRD: 325842 | - | 0 | 0 | - | Unknown |
| Aphelion Capital, LLC CRD: 166374 | - | 0 | 1 | - | Unknown |
| Aphelion Equity LLC CRD: 334310 | - | 0 | 1 | - | Unknown |
| Aphelion Investment Advisors, LLC CRD: 311960 | - | 0 | 0 | - | Unknown |
| Aphias Capital, L.P. CRD: 336255 | - | 0 | 1 | - | Unknown |
| API Capital, LLC CRD: 334427 | - | 0 | 1 | - | Unknown |
| Apia Wealth Management CRD: 157562 | - | 0 | 0 | - | Unknown |
| Apiary Capital LLP CRD: 306583 | - | 0 | 0 | - | Unknown |
| Apifiny Prime Inc. CRD: 304574 | - | 0 | 0 | A | INACTIVE |