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 |
|---|---|---|---|---|---|
| Lucidity Wealth Advisors Inc. CRD: 326482 | - | 0 | 1 | - | Unknown |
| Lucidum Capital Management, LLC CRD: 311809 | - | 0 | 0 | - | Unknown |
| Lucie Financial Services CRD: 30098 | - | 0 | 0 | A | INACTIVE |
| Lucien Stirling & Gray Advisory Group Inc CRD: 112641 | - | 0 | 4 | - | Unknown |
| Lucky MAN, LLC CRD: 175195 | - | 0 | 1 | - | Unknown |
| Luckystockx Inc. CRD: 337414 | - | 0 | 1 | - | Unknown |
| Lucre Advisory LLC CRD: 326012 | - | 0 | 1 | - | Unknown |
| Lucror Capital Advisors, L.P. CRD: 171305 | - | 0 | 0 | - | Unknown |
| Lucrum Capital, LLC CRD: 128407 | - | 0 | 0 | - | Unknown |
| Lucus Advisors LLC CRD: 165114 | - | 0 | 0 | - | Unknown |
| Lucy G. Kryuchkova, LLC CRD: 297855 | - | 0 | 0 | - | Unknown |
| Lucy Labs, Inc. CRD: 315392 | - | 0 | 0 | - | Unknown |
| Lucy Shair Financial CRD: 300143 | - | 0 | 0 | - | Unknown |
| Ludis Capital Management, LLC CRD: 318112 | - | 0 | 0 | - | Unknown |
| Ludlow Advisors, LLC CRD: 325526 | - | 0 | 0 | - | Unknown |
| Ludlow Management Group, LLC CRD: 283433 | - | 0 | 1 | - | Unknown |
| Ludlow Ward Securities LLC CRD: 137107 | - | 1 | 0 | B | INACTIVE |
| Ludus Capital, LLC CRD: 331753 | - | 0 | 2 | - | Unknown |
| Luebbert Sports Management, LLC CRD: 327210 | - | 0 | 0 | - | Unknown |
| Luedtke & Associates CRD: 337424 | - | 0 | 1 | - | Unknown |
| Lufkin Advisors, LLC CRD: 163918 | - | 0 | 0 | - | Unknown |
| Luhman Wealth Partners CRD: 339978 | - | 0 | 1 | - | Unknown |
| Lukas Total Wealth CRD: 281513 | - | 0 | 1 | - | Unknown |
| Luke Capital CRD: 289208 | - | 0 | 1 | - | Unknown |
| Luke Capital CRD: 306879 | - | 0 | 2 | - | Unknown |
| Luke Financial Company, LLC CRD: 147118 | - | 0 | 2 | - | Unknown |
| Luken Investment Analytics, LLC CRD: 169008 | - | 0 | 1 | - | Unknown |
| Luken Investment Group, Inc. CRD: 47009 | - | 1 | 0 | B | INACTIVE |
| Lula Financial CRD: 293538 | - | 0 | 2 | - | Unknown |
| Lulina Trading L.L.C. CRD: 132200 | - | 0 | 0 | A | INACTIVE |
| Lulla Wealth Financial CRD: 310592 | - | 0 | 2 | - | Unknown |
| Lulu Cheng Meservey Management, LLC CRD: 340048 | - | 0 | 1 | - | Unknown |
| Luma BIO-IT Management, LLC CRD: 293748 | - | 0 | 1 | - | Unknown |
| Luma Capital CRD: 119576 | - | 0 | 1 | - | Unknown |
| Luma Financial CRD: 315033 | - | 0 | 1 | - | Unknown |
| Luma Group CRD: 328200 | - | 0 | 1 | - | Unknown |
| Luma Securities LLC CRD: 157803 | NY | 0 | 2 | A | Active |
| Lumature Wealth Partners, LLC CRD: 309049 | - | 0 | 0 | - | Unknown |
| Lumbard & Kellner, LLC CRD: 117196 | - | 0 | 3 | - | Unknown |
| Lumbridge Research CRD: 337934 | - | 0 | 1 | - | Unknown |
| Lume Capital Advisors, LLC. CRD: 285745 | - | 0 | 0 | - | Unknown |
| Lumen Asset Management Limited CRD: 329531 | - | 0 | 0 | - | Unknown |
| Lumen Capital Management, L.L.C. CRD: 123705 | - | 0 | 2 | - | Unknown |
| Lumen Funds CRD: 149283 | - | 0 | 0 | - | Unknown |
| Lumen Management LLC CRD: 171267 | - | 0 | 0 | - | Unknown |
| Lumen Strategic Management, LLC CRD: 311644 | - | 0 | 1 | - | Unknown |
| Lumenai CRD: 309918 | - | 0 | 1 | - | Unknown |
| Lumenis Capitalmanagement GMBH Ltd CRD: 338001 | - | 0 | 1 | - | Unknown |
| Lumens Capital Partners CRD: 332760 | - | 0 | 0 | - | Unknown |
| Lumens Capital Partners CRD: 332753 | - | 0 | 0 | - | Unknown |