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 |
|---|---|---|---|---|---|
| Lument Investment Management, LLC CRD: 306487 | - | 0 | 1 | - | Unknown |
| Lument Securities, LLC CRD: 14840 | OH | 0 | 13 | A | Active |
| Lumerity Capital Management, LLC CRD: 174219 | - | 0 | 1 | - | Unknown |
| Lumia Capital CRD: 162119 | - | 0 | 1 | - | Unknown |
| Lumia Wealth, LLC CRD: 124276 | - | 0 | 0 | - | Unknown |
| Lumida Wealth Management LLC CRD: 323410 | - | 0 | 2 | - | Unknown |
| Lumiere BAY CRD: 308212 | - | 0 | 1 | - | Unknown |
| Lumiere Financial CRD: 319171 | - | 0 | 5 | - | Unknown |
| Lumiere Securities, Inc. CRD: 13414 | - | 0 | 0 | A | INACTIVE |
| Lumifi CRD: 169904 | - | 0 | 0 | - | Unknown |
| Lumin Financial, LLC CRD: 124138 | - | 0 | 0 | - | Unknown |
| Lumina CRD: 328661 | - | 0 | 0 | - | Unknown |
| Lumina Financial Consultants, LLC CRD: 163783 | - | 0 | 0 | - | Unknown |
| Lumina Advisors, LLC CRD: 289712 | - | 0 | 0 | - | Unknown |
| Lumina Financial LLC CRD: 165966 | - | 0 | 0 | - | Unknown |
| Lumina Fund Management LLC CRD: 144082 | - | 0 | 0 | - | Unknown |
| Lumina Investment Advisors LLC CRD: 164212 | - | 0 | 0 | - | Unknown |
| Lumina Wealth Management, LLC CRD: 291548 | - | 0 | 1 | - | Unknown |
| Luminaire Advisers LLC CRD: 319445 | - | 0 | 1 | - | Unknown |
| Luminant Capital CRD: 156717 | - | 0 | 0 | - | Unknown |
| Luminari Capital Management, LLC CRD: 170916 | - | 0 | 1 | - | Unknown |
| Luminarx Capital Management LP CRD: 327065 | - | 0 | 1 | - | Unknown |
| Luminary Asset Management LLC CRD: 286355 | - | 0 | 0 | - | Unknown |
| Luminary Capital, LLC CRD: 283241 | - | 0 | 0 | - | Unknown |
| Luminary Financial Advisors, LLC CRD: 305865 | - | 0 | 1 | - | Unknown |
| Luminary Financial Planning CRD: 169270 | - | 0 | 1 | - | Unknown |
| Luminary Wealth CRD: 116484 | - | 0 | 2 | - | Unknown |
| Luminary Wealth Advisors CRD: 316140 | - | 0 | 1 | - | Unknown |
| Luminate Capital Partners CRD: 269873 | - | 0 | 1 | - | Unknown |
| Luminist Capital, LLC CRD: 173396 | - | 0 | 3 | - | Unknown |
| Luminor Capital Management, LLC CRD: 226776 | - | 0 | 0 | - | Unknown |
| Luminous 8 Wealth Management LLC CRD: 259786 | - | 0 | 0 | - | Unknown |
| Luminous Financial & TAX Advisors LLC CRD: 311442 | - | 0 | 0 | - | Unknown |
| Luminous Financial Planning LLC CRD: 282150 | - | 0 | 0 | - | Unknown |
| Luminous Money CRD: 339844 | - | 0 | 1 | - | Unknown |
| Luminova Group LLC CRD: 336711 | - | 0 | 1 | - | Unknown |
| Lumint Corporation CRD: 324443 | - | 0 | 1 | - | Unknown |
| Luminus Management, LLC CRD: 157536 | - | 0 | 1 | - | Unknown |
| Luminvest Wealth Management LLC CRD: 326261 | - | 0 | 2 | - | Unknown |
| Lumira Ventures CRD: 164152 | - | 0 | 0 | - | Unknown |
| Lummis Asset Management, L.P. CRD: 114357 | - | 0 | 2 | - | Unknown |
| Lumora Wealth CRD: 334098 | - | 0 | 0 | - | Unknown |
| Lumos Capital Group LLC CRD: 306528 | - | 0 | 1 | - | Unknown |
| Lumos Partners, LLC CRD: 165050 | - | 0 | 0 | A | INACTIVE |
| Lumx Asset Management (U.K.) Ltd CRD: 298582 | - | 0 | 0 | - | Unknown |
| Luna Capital Investments, LLC CRD: 298124 | - | 0 | 0 | - | Unknown |
| Luna Capital Management, LLC CRD: 281388 | - | 0 | 0 | - | Unknown |
| Luna Capital Management, LLC CRD: 307687 | - | 0 | 2 | - | Unknown |
| Luna Investment Services Inc. CRD: 113474 | - | 0 | 1 | - | Unknown |
| Luna Partners CRD: 311369 | - | 0 | 1 | - | Unknown |