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 |
|---|---|---|---|---|---|
| Longview Wealth Management, LLC CRD: 139489 | - | 0 | 2 | - | Unknown |
| Longview, Inc. CRD: 142050 | - | 0 | 1 | - | Unknown |
| Longwall Family Office CRD: 324336 | - | 0 | 1 | - | Unknown |
| Longwave Advisor, LLC CRD: 282599 | - | 0 | 0 | - | Unknown |
| Longwave Financial LLC CRD: 166696 | - | 0 | 1 | - | Unknown |
| Longwood Fund Management LLC CRD: 162002 | - | 0 | 0 | - | Unknown |
| Longwood Company, Inc. CRD: 10029 | - | 0 | 0 | A | INACTIVE |
| Longwood Investment Advisors, Inc. CRD: 106405 | - | 0 | 0 | - | Unknown |
| Longwood Management LLC CRD: 281220 | - | 0 | 1 | - | Unknown |
| Longworth Management Company, Inc. CRD: 161036 | - | 0 | 0 | - | Unknown |
| Look Both Ways Financial, LLC CRD: 328755 | - | 0 | 1 | - | Unknown |
| Lookahead Wealth LLC CRD: 285724 | - | 0 | 1 | - | Unknown |
| Looker & Arters, Inc. CRD: 14199 | - | 0 | 0 | A | INACTIVE |
| Lookfar Financial, LLC CRD: 319239 | - | 0 | 0 | - | Unknown |
| Looking Glass Capital LLC CRD: 342058 | - | 0 | 1 | - | Unknown |
| Looking Glass Investments LLC CRD: 282280 | - | 0 | 0 | - | Unknown |
| Lookout Capital Management, LP CRD: 159214 | - | 0 | 0 | - | Unknown |
| Loom Capital Management LLC CRD: 174093 | - | 0 | 1 | - | Unknown |
| Loomis Financial Consulting CRD: 290681 | - | 0 | 0 | - | Unknown |
| Loomis Sayles Distributors, L.P. CRD: 41795 | MA | 0 | 7 | A | Active |
| Loomis, Sayles & Company, L.P. CRD: 105377 | - | 0 | 14 | - | Unknown |
| Loon Lake Capital Management LP CRD: 339830 | - | 0 | 1 | - | Unknown |
| Loop Capital Asset Management CRD: 149280 | - | 0 | 2 | - | Unknown |
| Loop Capital Markets LLC CRD: 43098 | IL | 8 | 26 | C | Active |
| Loop Investment Advisors LLC CRD: 297928 | - | 0 | 1 | - | Unknown |
| Looper, Michael Anthony CRD: 46299 | - | 0 | 0 | A | INACTIVE |
| LOP Capital Markets, Inc. CRD: 29726 | - | 0 | 0 | A | INACTIVE |
| Lopez & Lopez, P.A. CRD: 150398 | - | 0 | 0 | - | Unknown |
| Lorado Capital LLC CRD: 175484 | - | 0 | 1 | - | Unknown |
| Lord & Gladden, Inc. CRD: 115679 | - | 0 | 0 | - | Unknown |
| Lord & Kendyll Investments, Inc. CRD: 14027 | - | 0 | 0 | A | INACTIVE |
| Lord Abbett CLO Management LP CRD: 334025 | - | 0 | 1 | - | Unknown |
| Lord Abbett Distributor LLC CRD: 530 | NJ | 3 | 2 | D | Active |
| Lord Abbett FIF Advisor LLC CRD: 332700 | - | 0 | 1 | - | Unknown |
| Lord Abbett Private Credit Advisor LLC CRD: 332701 | - | 0 | 1 | - | Unknown |
| Lord and Richards CRD: 328907 | - | 0 | 5 | - | Unknown |
| Lord Wellington Investments, LLC CRD: 164678 | - | 0 | 1 | - | Unknown |
| Lord Williams & Buttari Incorporated CRD: 16399 | - | 0 | 0 | A | INACTIVE |
| Lord, Abbett & Co. LLC CRD: 110391 | - | 0 | 26 | - | Unknown |
| Lords Wealth CRD: 302002 | - | 0 | 1 | - | Unknown |
| Lorem Ipsum Management, LLC CRD: 168194 | - | 0 | 0 | - | Unknown |
| Lorenz Financial CRD: 284421 | - | 0 | 1 | - | Unknown |
| Loretta Nolan Associates, LLC CRD: 126468 | - | 0 | 2 | - | Unknown |
| Lori Flesher CFP CRD: 289897 | - | 0 | 0 | - | Unknown |
| Loria Financial Group, LLC CRD: 102360 | - | 0 | 0 | A | INACTIVE |
| Lorica Asset Management LLC CRD: 306072 | - | 0 | 0 | - | Unknown |
| Lorient Capital Management, LLC CRD: 289572 | - | 0 | 1 | - | Unknown |
| Loring Ward Securities Inc. CRD: 46337 | - | 0 | 0 | A | INACTIVE |
| Lorintine Capital CRD: 151204 | - | 0 | 1 | - | Unknown |
| LOS Alamos Capital Management, LLC CRD: 323832 | - | 0 | 0 | - | Unknown |