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 |
|---|---|---|---|---|---|
| LPG Investment Management LLC CRD: 317977 | - | 0 | 1 | - | Unknown |
| LPK Investment Group, LLP CRD: 218514 | - | 0 | 1 | - | Unknown |
| LPL Enterprise, LLC CRD: 8733 | SC | 3 | 1,487 | B | Active |
| LPL Financial LLC CRD: 6413 | SC | 289 | 32,976 | B | Active |
| LPM Advisors, LLC CRD: 156192 | - | 0 | 3 | - | Unknown |
| LPM Capital Management CRD: 175200 | - | 0 | 0 | - | Unknown |
| LPM Financial LLC CRD: 306910 | - | 0 | 0 | - | Unknown |
| LPM Investment Services, Inc CRD: 33980 | - | 0 | 0 | A | INACTIVE |
| LPR Capital, Inc. CRD: 111580 | - | 0 | 1 | - | Unknown |
| LPS Capital LLC CRD: 155246 | NY | 1 | 5 | B | Active |
| LPS Securities, Inc. CRD: 14219 | - | 0 | 0 | A | INACTIVE |
| LPX Limited Partners' Exchange CRD: 17689 | - | 0 | 0 | A | INACTIVE |
| LQA Funds SAS CRD: 290014 | - | 0 | 0 | - | Unknown |
| LRB Public Finance Advisors, Inc. CRD: 39119 | UT | 1 | 2 | B | Active |
| LRH Capital Advising LLC CRD: 342994 | - | 0 | 1 | - | Unknown |
| LRI Investments CRD: 323556 | - | 0 | 23 | - | Unknown |
| LRJ Monthly Income Investing CRD: 152219 | - | 0 | 0 | - | Unknown |
| LRL Financial Planning Services, Inc. CRD: 168209 | - | 0 | 1 | - | Unknown |
| LRM Financial Consulting, LLC CRD: 304353 | - | 0 | 0 | - | Unknown |
| LRN Associates Ltd. CRD: 121231 | - | 0 | 0 | - | Unknown |
| LRT Capital Management, LLC CRD: 290260 | - | 0 | 1 | - | Unknown |
| LRV Capital Management, LLC CRD: 162155 | - | 0 | 0 | - | Unknown |
| LRZ Capital LLC CRD: 333746 | - | 0 | 2 | - | Unknown |
| LS BDC Adviser, LLC CRD: 313799 | - | 0 | 1 | - | Unknown |
| LS Capital Company CRD: 34541 | - | 0 | 0 | A | INACTIVE |
| LS Capital, Inc. CRD: 269995 | - | 0 | 1 | - | Unknown |
| LS Polaris Innovation Fund Management, L.L.C. CRD: 290691 | - | 0 | 0 | - | Unknown |
| LS Power Equity Advisors, LLC CRD: 158272 | - | 0 | 1 | - | Unknown |
| LS Securities, LLC CRD: 296764 | NJ | 0 | 2 | A | Active |
| LSA Capital Corporation CRD: 10648 | - | 0 | 0 | A | INACTIVE |
| LSA TPM, LLC CRD: 150059 | - | 0 | 1 | - | Unknown |
| Lsaf Management, LLC CRD: 284238 | - | 0 | 0 | - | Unknown |
| LSB Wealth Management CRD: 310466 | - | 0 | 5 | - | Unknown |
| Lsco Securities Inc. CRD: 2515 | - | 0 | 0 | A | INACTIVE |
| LSCP Advisors, LLC CRD: 286018 | - | 0 | 1 | - | Unknown |
| LSF Capital LLC CRD: 323870 | - | 0 | 4 | - | Unknown |
| LSH Partners Securities LLC CRD: 284952 | NY | 0 | 2 | A | Active |
| LSI, Inc. CRD: 10584 | - | 0 | 0 | A | INACTIVE |
| Lsia CRD: 146829 | - | 0 | 7 | - | Unknown |
| LSL Financial Services, LLC CRD: 300221 | - | 0 | 2 | - | Unknown |
| Lsma Capital,LLC CRD: 164716 | - | 0 | 0 | - | Unknown |
| LSMPT Financial Advisors, LLC CRD: 123908 | - | 0 | 2 | - | Unknown |
| Lsof Manager LLC CRD: 334172 | - | 0 | 1 | - | Unknown |
| LSP Advisory BV CRD: 281956 | - | 0 | 0 | - | Unknown |
| LSP Advisory BV CRD: 320718 | - | 0 | 0 | - | Unknown |
| LSP Advisory LLC CRD: 305539 | - | 0 | 3 | - | Unknown |
| LSP Lisbon LLC CRD: 337249 | - | 0 | 1 | - | Unknown |
| LSP or Life Sciences Partners CRD: 163166 | - | 0 | 0 | - | Unknown |
| LST Capital Partners Limited CRD: 298690 | - | 0 | 0 | - | Unknown |
| LSV Asset Management CRD: 109918 | - | 0 | 1 | - | Unknown |