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 |
|---|---|---|---|---|---|
| LSVP Mauritius Management CRD: 343439 | - | 0 | 0 | - | Unknown |
| LSY Financial Group CRD: 148187 | - | 0 | 0 | - | Unknown |
| LT Advisors LLC CRD: 318920 | - | 0 | 1 | - | Unknown |
| LT Lawrence & Co., Inc. CRD: 31956 | - | 0 | 0 | A | INACTIVE |
| LT1 Capital LLC CRD: 338254 | - | 0 | 1 | - | Unknown |
| LTA Advisors LLC CRD: 332584 | - | 0 | 1 | - | Unknown |
| LTA Asset Management, Inc. CRD: 10104 | - | 0 | 0 | A | INACTIVE |
| LTA Trading L.L.C. CRD: 123927 | - | 0 | 0 | A | INACTIVE |
| LTC (BVI) Ltd CRD: 342812 | - | 0 | 0 | - | Unknown |
| LTC Investment Services, Inc. CRD: 23750 | - | 1 | 0 | B | INACTIVE |
| LTC Wealth Management, LLC CRD: 290672 | - | 0 | 1 | - | Unknown |
| LTCB Latin America, Inc. CRD: 30396 | - | 0 | 0 | A | INACTIVE |
| LTG Capital LLC CRD: 128216 | - | 0 | 1 | - | Unknown |
| LTNG Capital, LLC CRD: 333008 | - | 0 | 1 | - | Unknown |
| LTNG MGMT, LLC CRD: 316531 | - | 0 | 1 | - | Unknown |
| LTP Partners LLC CRD: 138674 | - | 0 | 0 | - | Unknown |
| LTS Capital Advisors CRD: 137611 | - | 0 | 0 | - | Unknown |
| LTS Financial Group CRD: 313215 | - | 0 | 2 | - | Unknown |
| LTS Wealth Management CRD: 338992 | - | 0 | 1 | - | Unknown |
| Lubar Securities, Inc. CRD: 15402 | - | 0 | 0 | A | INACTIVE |
| Lubert-Adler Management Company, L.P. CRD: 155201 | - | 0 | 1 | - | Unknown |
| Luby Advisory Services, LLC CRD: 114478 | - | 0 | 0 | - | Unknown |
| Luby Asset Management LLC CRD: 167914 | - | 0 | 0 | - | Unknown |
| Lucas & Rogers, Inc. CRD: 29550 | - | 0 | 0 | A | INACTIVE |
| Lucas Capital Management, L.L.C. CRD: 112050 | - | 0 | 0 | - | Unknown |
| Lucas Group Capital Management, LLC CRD: 289932 | - | 0 | 0 | - | Unknown |
| Lucas Group Financial Advisors, LLC CRD: 326880 | - | 0 | 6 | - | Unknown |
| Lucas Retirement Group LLC CRD: 341225 | - | 0 | 1 | - | Unknown |
| Lucas Venture Group CRD: 341813 | - | 0 | 1 | - | Unknown |
| Lucashill, LLC CRD: 321069 | - | 0 | 1 | - | Unknown |
| Lucena Research Inc. CRD: 170998 | - | 0 | 0 | - | Unknown |
| Lucent Financial CRD: 342137 | - | 0 | 2 | - | Unknown |
| Lucent Wealth Planning, LLC CRD: 297447 | - | 0 | 2 | - | Unknown |
| Lucerna Global Capital LP CRD: 318089 | - | 0 | 1 | - | Unknown |
| Lucerne Capital Management, LP CRD: 111288 | - | 0 | 1 | - | Unknown |
| Lucey Advisory Group CRD: 287515 | - | 0 | 0 | - | Unknown |
| Lucey Investment Management, LLC CRD: 137718 | - | 0 | 1 | - | Unknown |
| Lucey Wealth Advisors LLC CRD: 317601 | - | 0 | 1 | - | Unknown |
| Lucha Capital Management LP CRD: 284597 | - | 0 | 0 | - | Unknown |
| Luchini Financial LLC CRD: 324363 | - | 0 | 1 | - | Unknown |
| Lucia Capital Group CRD: 152396 | - | 0 | 0 | - | Unknown |
| Lucia Securities, LLC CRD: 37179 | - | 2 | 0 | B | INACTIVE |
| Lucia Wealth Management, LLC CRD: 330654 | - | 0 | 1 | - | Unknown |
| Luciano Securities, Inc. CRD: 21062 | - | 0 | 0 | A | INACTIVE |
| Lucid Advisors, Inc. CRD: 116639 | - | 0 | 1 | - | Unknown |
| Lucid Capital Markets, LLC CRD: 140345 | NY | 1 | 7 | B | Active |
| Lucid Impact LLC CRD: 341331 | - | 0 | 1 | - | Unknown |
| Lucid Management and Capital Partners LP CRD: 287883 | - | 0 | 1 | - | Unknown |
| Lucid Wealth Planning LLC CRD: 304756 | - | 0 | 2 | - | Unknown |
| Lucidamp Financial CRD: 136687 | - | 0 | 0 | - | Unknown |