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 |
|---|---|---|---|---|---|
| Apiis Wealth Management Corp. CRD: 335241 | - | 0 | 1 | - | Unknown |
| Apis & Heritage Capital Partners, LLC CRD: 315195 | - | 0 | 1 | - | Unknown |
| Apis Capital Advisors, LLC CRD: 131200 | - | 0 | 1 | - | Unknown |
| Apis Financial Group, LLC CRD: 312493 | - | 0 | 2 | - | Unknown |
| Apis Partners Group (UK) Limited CRD: 333848 | - | 0 | 0 | - | Unknown |
| Apis Partners LLP CRD: 298869 | - | 0 | 0 | - | Unknown |
| Apis Wealth, LLC CRD: 305606 | - | 0 | 1 | - | Unknown |
| Apjl Partnership CRD: 104270 | - | 0 | 0 | A | INACTIVE |
| Apjohn Ventures, LLC CRD: 316911 | - | 0 | 1 | - | Unknown |
| APL GP LLC CRD: 331505 | - | 0 | 1 | - | Unknown |
| Aplomado Advisors, LLC CRD: 312503 | - | 0 | 3 | - | Unknown |
| APM Wealth CRD: 289340 | - | 0 | 2 | - | Unknown |
| APO Capital Ltda. CRD: 322637 | - | 0 | 0 | - | Unknown |
| APO Financial Services, LLC CRD: 297647 | - | 0 | 4 | - | Unknown |
| Apogean Capital Inc. CRD: 101100 | - | 0 | 0 | A | INACTIVE |
| Apogee Advisors LLC CRD: 174236 | - | 0 | 0 | - | Unknown |
| Apogee Advisors LLC CRD: 286680 | - | 0 | 0 | - | Unknown |
| Apogee Financial Group CRD: 30631 | - | 0 | 0 | A | INACTIVE |
| Apogee Global Advisors, Inc. CRD: 130334 | - | 0 | 2 | - | Unknown |
| Apogee Investment Management CRD: 173687 | - | 0 | 1 | - | Unknown |
| Apogee Tactical CRD: 194520 | - | 0 | 1 | - | Unknown |
| Apogee Wealth Advisors CRD: 341202 | - | 0 | 1 | - | Unknown |
| Apogee Wealth Management CRD: 328392 | - | 0 | 0 | - | Unknown |
| Apogee Wealth Partners, LLC CRD: 310419 | - | 0 | 2 | - | Unknown |
| Apogem Capital LLC CRD: 309234 | - | 0 | 3 | - | Unknown |
| Apollo Capital Credit Adviser, LLC CRD: 286485 | - | 0 | 1 | - | Unknown |
| Apollo Capital Management, L.P. CRD: 143161 | - | 0 | 1 | - | Unknown |
| Apollo Commodities Management, L.P. CRD: 147994 | - | 0 | 0 | - | Unknown |
| Apollo Financial Group, LLC CRD: 299780 | - | 0 | 0 | - | Unknown |
| Apollo Global Real Estate Management, L.P. CRD: 151243 | - | 0 | 0 | - | Unknown |
| Apollo Global Securities, LLC CRD: 153502 | NY | 0 | 10 | A | Active |
| Apollo Health Ventures CRD: 313129 | - | 0 | 0 | - | Unknown |
| Apollo Management, L.P. CRD: 143158 | - | 0 | 0 | - | Unknown |
| Apollo Manager, LLC CRD: 327828 | - | 0 | 1 | - | Unknown |
| Apollo MPS Management, LLC CRD: 338148 | - | 0 | 1 | - | Unknown |
| Apollo Partners, L.P. CRD: 34767 | - | 6 | 0 | D | INACTIVE |
| Apollo Projects GP, LLC CRD: 313935 | - | 0 | 0 | - | Unknown |
| Apollo Real Estate Fund Adviser, LLC CRD: 169120 | - | 0 | 1 | - | Unknown |
| Apollo S3 RIC Management, L.P. CRD: 330339 | - | 0 | 1 | - | Unknown |
| Apollo Tech Fund Manager CRD: 339990 | - | 0 | 1 | - | Unknown |
| Apollo Wealth Management CRD: 334251 | - | 0 | 1 | - | Unknown |
| Apollo Wealth Management, LLC CRD: 144673 | - | 0 | 1 | - | Unknown |
| Apollo Wealth Management, LLC CRD: 161963 | - | 0 | 0 | - | Unknown |
| Apollo Wealth Management, Ltd. CRD: 136803 | - | 0 | 1 | - | Unknown |
| Apollon Financial, LLC CRD: 321217 | - | 0 | 19 | - | Unknown |
| Apollon Wealth Management, LLC CRD: 291902 | - | 0 | 119 | - | Unknown |
| Apostolic Financial Advisors, LLC CRD: 167490 | - | 0 | 1 | - | Unknown |
| Aposul Wealth Management LLC CRD: 292003 | - | 0 | 0 | - | Unknown |
| APP CRD: 324537 | - | 0 | 2 | - | Unknown |
| Appalachian Capital Group, LLC CRD: 169078 | - | 0 | 0 | - | Unknown |