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 |
|---|---|---|---|---|---|
| Lyric Capital Management Group, L.P. CRD: 299917 | - | 0 | 1 | - | Unknown |
| Lyrical Asset Management LP CRD: 148267 | - | 0 | 1 | - | Unknown |
| Lyrical Partners, L.P. CRD: 158131 | - | 0 | 0 | - | Unknown |
| Lyrical-Antheus Management, L.P. CRD: 161575 | - | 0 | 0 | - | Unknown |
| Lyster Watson Securities, Inc. CRD: 30210 | - | 1 | 0 | B | INACTIVE |
| Lyter Financial, LLC CRD: 283611 | - | 0 | 0 | - | Unknown |
| Lytical Ventures, LLC CRD: 318148 | - | 0 | 1 | - | Unknown |
| Lytle Investments CRD: 108109 | - | 0 | 0 | - | Unknown |
| Lytle Investments CRD: 297591 | - | 0 | 1 | - | Unknown |
| Lyxor Asset Management CRD: 160258 | - | 0 | 0 | - | Unknown |
| Lyxor Asset Management LLC CRD: 121552 | - | 0 | 0 | - | Unknown |
| LZ1, LLC CRD: 340158 | - | 0 | 1 | - | Unknown |
| L|2 Advisors, LLC CRD: 164263 | - | 0 | 0 | - | Unknown |
| M & a Investments, Inc. CRD: 15273 | - | 0 | 0 | A | INACTIVE |
| M & H Securities, Inc. CRD: 10411 | - | 0 | 0 | A | INACTIVE |
| M & J Kaplan Company, Inc. CRD: 2393 | - | 0 | 0 | A | INACTIVE |
| M & J Securities, Inc. CRD: 33273 | - | 0 | 0 | A | INACTIVE |
| M & J Wilkow CRD: 291202 | - | 0 | 1 | - | Unknown |
| M & J Wilkow Securities Corporation CRD: 14550 | - | 0 | 0 | A | INACTIVE |
| M & L Management Consultants, Inc. CRD: 15956 | - | 0 | 0 | A | INACTIVE |
| M & P Investment Advisors, LLC CRD: 277157 | - | 0 | 0 | - | Unknown |
| M & W Financial Inc. CRD: 131743 | - | 2 | 0 | B | INACTIVE |
| M 2, Inc. CRD: 168518 | - | 0 | 0 | - | Unknown |
| M B Financial Services CRD: 42542 | - | 2 | 0 | B | INACTIVE |
| M B Vick & Company CRD: 6985 | - | 0 | 0 | A | INACTIVE |
| M Barc Investment Group, Inc. CRD: 41082 | - | 0 | 0 | A | INACTIVE |
| M C Energy Securities Corporation CRD: 8542 | - | 0 | 0 | A | INACTIVE |
| M Capital Advisors CRD: 107560 | - | 0 | 0 | - | Unknown |
| M Capital Technologies, LLC CRD: 324082 | - | 0 | 0 | - | Unknown |
| M Capital Wealth Management, LLC CRD: 155303 | - | 0 | 2 | - | Unknown |
| M E Sawyer Company CRD: 111823 | - | 0 | 0 | - | Unknown |
| M Financial Asset Management, Inc. CRD: 136694 | - | 0 | 3 | - | Unknown |
| M Financial Investment Advisers Inc CRD: 106648 | - | 0 | 1 | - | Unknown |
| M Financial Planning Services, Inc CRD: 121207 | - | 0 | 3 | - | Unknown |
| M Financial Securities Marketing, Inc. CRD: 139304 | OR | 0 | 3 | A | Active |
| M G Securities Group, Inc. CRD: 42991 | - | 3 | 0 | C | INACTIVE |
| M Group CRD: 160128 | - | 0 | 2 | - | Unknown |
| M Holdings Securities, Inc. CRD: 43285 | OR | 5 | 193 | B | Active |
| M J Whitman & Co., Inc CRD: 6762 | - | 0 | 0 | A | INACTIVE |
| M K Schiller Consulting CRD: 111427 | - | 0 | 0 | - | Unknown |
| M Management Advisors LLC CRD: 318248 | - | 0 | 0 | - | Unknown |
| M Partners Capital LLC CRD: 329862 | - | 0 | 1 | - | Unknown |
| M Premier Partners CRD: 289044 | - | 0 | 3 | - | Unknown |
| M Science LLC CRD: 284263 | - | 0 | 0 | - | Unknown |
| M Share Capital LLC CRD: 317613 | - | 0 | 0 | A | INACTIVE |
| M Squared, LLC CRD: 147321 | - | 0 | 0 | - | Unknown |
| M Stevens Securities, LLC CRD: 296750 | NV | 0 | 2 | A | Active |
| M Stevens Wealth Advisors, LLC CRD: 291482 | - | 0 | 1 | - | Unknown |
| M Street Capital, LLC CRD: 174310 | - | 0 | 1 | - | Unknown |
| M V Securities, Inc. Inc. CRD: 7201 | - | 0 | 0 | A | INACTIVE |