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 |
|---|---|---|---|---|---|
| LOS Alamos Capital Management, LLC CRD: 342170 | - | 0 | 1 | - | Unknown |
| LOS Angeles Capital Management LLC CRD: 119033 | - | 0 | 2 | - | Unknown |
| LOS Angeles Securities CRD: 14000 | - | 0 | 0 | A | INACTIVE |
| LOS Gatos Financial LLC CRD: 329966 | - | 0 | 1 | - | Unknown |
| Losch Management Company CRD: 141876 | - | 0 | 0 | - | Unknown |
| Lota Advisors LLC. CRD: 269885 | - | 0 | 1 | - | Unknown |
| Lother Capital Management, LLC CRD: 307481 | - | 0 | 0 | - | Unknown |
| Lotic Financial Planning LLC CRD: 340561 | - | 0 | 1 | - | Unknown |
| Lottman Financial Group CRD: 133308 | - | 0 | 0 | - | Unknown |
| Lotus CRD: 335468 | - | 0 | 1 | - | Unknown |
| Lotus Asset Management Limited Liability Company CRD: 277030 | - | 0 | 1 | - | Unknown |
| Lotus Capital Management, LLC CRD: 318086 | - | 0 | 0 | - | Unknown |
| Lotus Capital Management, LLC CRD: 318334 | - | 0 | 0 | - | Unknown |
| Lotus Domaine Management LLC CRD: 321188 | - | 0 | 1 | - | Unknown |
| Lotus Infrastructure Partners, LP CRD: 324015 | - | 0 | 1 | - | Unknown |
| Lotus Investment Advisors CRD: 172638 | - | 0 | 1 | - | Unknown |
| Lotus Investments, Corp. CRD: 19975 | - | 0 | 0 | A | INACTIVE |
| Lotus OAK Capital Institute CRD: 339053 | - | 0 | 1 | - | Unknown |
| Lotus Securities Trading LLC CRD: 126840 | - | 0 | 0 | A | INACTIVE |
| Lotusdew CRD: 308112 | - | 0 | 0 | - | Unknown |
| Lotusgroup Advisors CRD: 143379 | - | 0 | 1 | - | Unknown |
| Lotusland Properties CRD: 324016 | - | 0 | 1 | - | Unknown |
| Lotusment Advisors, LLC CRD: 310413 | - | 0 | 1 | - | Unknown |
| Lotux Ventures, LLC CRD: 324162 | - | 0 | 0 | - | Unknown |
| Lotv Planning & Consulting CRD: 333674 | - | 0 | 1 | - | Unknown |
| Lotzer & Co.,Inc. CRD: 113087 | - | 0 | 2 | - | Unknown |
| Loucks & Weaver Financial, Inc. CRD: 121603 | - | 0 | 0 | - | Unknown |
| Loudon Investment Management, LLC CRD: 113641 | - | 0 | 1 | - | Unknown |
| Louella Capital Partners, LLC CRD: 162445 | - | 0 | 0 | - | Unknown |
| Louis Capital Markets, LLC CRD: 48013 | - | 5 | 0 | C | INACTIVE |
| Louis Henry Wealth Management LLC CRD: 324416 | - | 0 | 2 | - | Unknown |
| Louis Nicoud & Associates CRD: 25959 | - | 0 | 0 | A | INACTIVE |
| Lountzis Asset Management, LLC CRD: 118923 | - | 0 | 6 | - | Unknown |
| Loup-Miller Building Corporation CRD: 18392 | - | 0 | 0 | A | INACTIVE |
| Lourdmurray CRD: 140305 | - | 0 | 0 | - | Unknown |
| Love CRD: 338177 | - | 0 | 0 | - | Unknown |
| Love Financial & Advisory Services, L.L.C CRD: 312455 | - | 0 | 0 | - | Unknown |
| Love Financial Planning for Medical Professionals,… CRD: 298159 | - | 0 | 0 | - | Unknown |
| Love Securities, Inc. CRD: 15040 | - | 0 | 0 | A | INACTIVE |
| Lovejoy Associates, Inc. CRD: 33156 | - | 0 | 0 | A | INACTIVE |
| Loveland & Bastian Financial Services Group, LLC CRD: 135255 | - | 0 | 3 | - | Unknown |
| Loveless Wealth Management, LLC CRD: 110024 | - | 0 | 0 | - | Unknown |
| Lovell Incorporated CRD: 24516 | - | 0 | 0 | A | INACTIVE |
| Lovell Minnick CRD: 156494 | - | 0 | 1 | - | Unknown |
| Lovestedt Financial LLC CRD: 308181 | - | 0 | 0 | - | Unknown |
| Lovetere Financial LLC CRD: 111529 | - | 0 | 0 | - | Unknown |
| Lovett Advisors LLC CRD: 283929 | - | 0 | 0 | - | Unknown |
| Lovett Investment Consulting LLC CRD: 143178 | - | 0 | 2 | - | Unknown |
| Lovett Mitchell Webb & Garrison, Inc. CRD: 10011 | - | 0 | 0 | A | INACTIVE |
| Lovett Underwood Neuhaus & Webb, Inc. CRD: 22540 | - | 0 | 0 | A | INACTIVE |