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 |
|---|---|---|---|---|---|
| Lovuty LLC CRD: 298832 | - | 0 | 0 | - | Unknown |
| Lovuty LLC CRD: 335916 | - | 0 | 1 | - | Unknown |
| LOW Carbon Investment Management Limited CRD: 324331 | - | 0 | 0 | - | Unknown |
| Lowe & Associates, Inc. CRD: 7228 | - | 0 | 0 | A | INACTIVE |
| Lowe Wealth Advisors, LLC CRD: 157906 | - | 0 | 0 | - | Unknown |
| Lowell & Company, Inc. CRD: 24913 | - | 3 | 0 | C | INACTIVE |
| Lowell Blake & Associates Inc. CRD: 105127 | - | 0 | 0 | - | Unknown |
| Lowell Capital Management, LLC CRD: 126732 | - | 0 | 0 | - | Unknown |
| Lowell Capital Value Management LLC CRD: 286349 | - | 0 | 1 | - | Unknown |
| Lowell H. Listrom & Company Inc. CRD: 6336 | - | 0 | 0 | A | INACTIVE |
| Lowell Road Asset Management, Inc. CRD: 164370 | - | 0 | 2 | - | Unknown |
| Lowenhaupt Global Advisors, LLC CRD: 138547 | - | 0 | 0 | - | Unknown |
| Lower River Wealth Management CRD: 160107 | - | 0 | 0 | - | Unknown |
| Lowercarbon Capital CRD: 162946 | - | 0 | 1 | - | Unknown |
| Lowercase Capital, LLC CRD: 299880 | - | 0 | 2 | - | Unknown |
| Lowery Asset Consulting, LLC CRD: 121712 | - | 0 | 0 | - | Unknown |
| Lowery Thomas, LLC CRD: 110058 | - | 0 | 4 | - | Unknown |
| Lowin, Leeam CRD: 161984 | - | 0 | 0 | - | Unknown |
| Lowkey Services Company, Ltd. CRD: 308034 | - | 0 | 0 | - | Unknown |
| Lowry Capital Management Corporation CRD: 157658 | - | 0 | 0 | - | Unknown |
| Lowry Financial Advisors CRD: 132786 | - | 0 | 1 | - | Unknown |
| Lowry Financial Services CRD: 326722 | - | 0 | 2 | - | Unknown |
| Lowry, Bittel, Perrot & Co. Securities, Inc. CRD: 8325 | - | 0 | 0 | A | INACTIVE |
| Loyal Advisors CRD: 319356 | - | 0 | 1 | - | Unknown |
| Loyal Advisors LLC CRD: 159136 | - | 0 | 0 | - | Unknown |
| Loyal Capital Management CRD: 317603 | - | 0 | 0 | - | Unknown |
| Loyal Wealth Management LLC CRD: 305360 | - | 0 | 1 | - | Unknown |
| Loyal3 Securities Inc. CRD: 6380 | - | 3 | 0 | C | INACTIVE |
| Loyalhanna Capital Management, LLC CRD: 146841 | - | 0 | 0 | - | Unknown |
| Loyd Capital Performance Partners, Inc. CRD: 135090 | - | 0 | 0 | - | Unknown |
| Loynd Capital Management CRD: 131709 | - | 0 | 2 | - | Unknown |
| Loyola Asset Management LLC CRD: 153255 | - | 0 | 1 | - | Unknown |
| Loyola Financial Investments and Securities, Inc. CRD: 14032 | - | 0 | 0 | A | INACTIVE |
| Loyola Investment Services, Inc. CRD: 32289 | - | 0 | 0 | A | INACTIVE |
| Loyola Vista Management, LLC CRD: 343465 | - | 0 | 1 | - | Unknown |
| Lozano Group Wealth Management CRD: 328448 | - | 0 | 0 | - | Unknown |
| LP Charles & Company, Inc. CRD: 27020 | - | 0 | 0 | A | INACTIVE |
| LP Financial Planning CRD: 282656 | - | 0 | 0 | - | Unknown |
| LP Investment Management, LLC CRD: 306615 | - | 0 | 1 | - | Unknown |
| LPA Taurus LLC CRD: 281854 | - | 0 | 0 | - | Unknown |
| LPC Evolution GP, LLC CRD: 162507 | - | 0 | 0 | - | Unknown |
| LPC Harvest GP, LLC CRD: 286133 | - | 0 | 0 | - | Unknown |
| LPC London GP, LLC CRD: 164523 | - | 0 | 0 | - | Unknown |
| LPC Realty Advisors I, LLC CRD: 112175 | - | 0 | 1 | - | Unknown |
| LPC Westchester GP, LLC CRD: 162499 | - | 0 | 0 | - | Unknown |
| LPC Westfield GP, LLC CRD: 162501 | - | 0 | 0 | - | Unknown |
| LPE Securities, LLC CRD: 117851 | - | 6 | 0 | D | INACTIVE |
| LPF Advisors, LLC CRD: 298068 | - | 0 | 0 | - | Unknown |
| LPF Energy Management LLC CRD: 286386 | - | 0 | 0 | - | Unknown |
| LPG Capital Management CRD: 297003 | - | 0 | 1 | - | Unknown |