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 |
|---|---|---|---|---|---|
| Lunada Capital Group LLC CRD: 268806 | - | 0 | 0 | - | Unknown |
| Lunar Capital Management Advisors Ltd. CRD: 163572 | - | 0 | 0 | - | Unknown |
| Lunch Partners GP, LLC CRD: 290464 | - | 0 | 1 | - | Unknown |
| Lund Capital Management LLC CRD: 325897 | - | 0 | 1 | - | Unknown |
| Lunda Financial Services LLC CRD: 132893 | - | 0 | 0 | - | Unknown |
| Lundeen Abrams Advisors, LLC CRD: 310589 | - | 0 | 2 | - | Unknown |
| Lundy Securities Corporation CRD: 7543 | - | 0 | 0 | A | INACTIVE |
| Lunea Wealth Management CRD: 336177 | - | 0 | 1 | - | Unknown |
| Lunedi Capital LLC CRD: 335457 | - | 0 | 1 | - | Unknown |
| Lunexa Investment Ltd CRD: 342718 | - | 0 | 1 | - | Unknown |
| Lungu Capital Group CRD: 311881 | - | 0 | 0 | - | Unknown |
| Lunia Capital LP CRD: 286052 | - | 0 | 0 | - | Unknown |
| Lunin-Pack Planning and Advice, LLC CRD: 334066 | - | 0 | 1 | - | Unknown |
| Lunn Partners Securities, LLC CRD: 25444 | - | 1 | 0 | B | INACTIVE |
| Lupa RIA Investment Management LLC CRD: 314819 | - | 0 | 1 | - | Unknown |
| Lupin Investment Co. Ltd. CRD: 269944 | - | 0 | 0 | - | Unknown |
| Lupin Investment Co. Ltd. CRD: 308987 | - | 0 | 0 | - | Unknown |
| Lupo Futures, LLC CRD: 155931 | - | 2 | 0 | B | INACTIVE |
| Lupo Securities, LLC CRD: 43761 | - | 14 | 0 | D | INACTIVE |
| Lupu Financial CRD: 311610 | - | 0 | 1 | - | Unknown |
| Lupu USA, LLC CRD: 309873 | - | 0 | 0 | - | Unknown |
| Lurie Louis Davis CRD: 142294 | - | 0 | 2 | - | Unknown |
| Lurima Capital Ltd CRD: 341088 | - | 0 | 1 | - | Unknown |
| Lusa Investment Group, LLC CRD: 325057 | - | 0 | 0 | - | Unknown |
| Lusk, Patrick Donald CRD: 135602 | - | 0 | 0 | A | INACTIVE |
| Luskin Financial Planning CRD: 314744 | - | 0 | 1 | - | Unknown |
| Lustig Financial Services LLC CRD: 154175 | - | 0 | 0 | - | Unknown |
| Luther Forest Wealth Advisors, L.L.C. CRD: 142714 | - | 0 | 2 | - | Unknown |
| Luther King Capital Management Corporation CRD: 110093 | - | 0 | 21 | - | Unknown |
| Luther Wealth Management CRD: 296980 | - | 0 | 1 | - | Unknown |
| Luther, Smith & Small, Inc. CRD: 11095 | - | 0 | 0 | A | INACTIVE |
| Lutheran Brotherhood Securities Corp. CRD: 4205 | - | 5 | 0 | C | INACTIVE |
| Luthy Baillie Dowsett Pethick, Inc. CRD: 35728 | - | 0 | 0 | A | INACTIVE |
| Lutr Star LLC CRD: 341148 | - | 0 | 1 | - | Unknown |
| Lutsen Advisors LLC CRD: 286212 | - | 0 | 0 | - | Unknown |
| Lutz Financial CRD: 117273 | - | 0 | 2 | - | Unknown |
| Lutz, Thomas P. CRD: 119617 | - | 0 | 0 | A | INACTIVE |
| LUX Advisors LLC CRD: 289009 | - | 0 | 0 | - | Unknown |
| LUX Aeterna Capital Limited CRD: 327596 | - | 0 | 0 | - | Unknown |
| LUX Capital Management, LLC CRD: 163026 | - | 0 | 1 | - | Unknown |
| Luxepoint Capital Ltd CRD: 341264 | - | 0 | 1 | - | Unknown |
| Luxon Brown CRD: 333800 | - | 0 | 3 | - | Unknown |
| Luxor Capital Group, LP CRD: 138253 | - | 0 | 1 | - | Unknown |
| Luxton Financial CRD: 146114 | - | 0 | 0 | - | Unknown |
| LV Advisory SPA CRD: 290350 | - | 0 | 0 | - | Unknown |
| LV Capital Partners LLC CRD: 300150 | - | 0 | 0 | - | Unknown |
| LVC Management Limited CRD: 308321 | - | 0 | 0 | - | Unknown |
| LVH, LLC CRD: 283149 | - | 0 | 0 | - | Unknown |
| LVL Research LLC CRD: 277081 | - | 0 | 0 | - | Unknown |
| LVM Capital Management Ltd CRD: 111039 | - | 0 | 1 | - | Unknown |