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 |
|---|---|---|---|---|---|
| M. Sear Securities, Inc. CRD: 14050 | - | 0 | 0 | A | INACTIVE |
| M. Thomas Capital Management CRD: 315452 | - | 0 | 1 | - | Unknown |
| M. Valentine III GP, LLC CRD: 322522 | - | 0 | 1 | - | Unknown |
| M. W. Aragao Investment Advisors, LLC CRD: 134395 | - | 0 | 1 | - | Unknown |
| M. W. Jenkins & Co. CRD: 7280 | - | 0 | 0 | A | INACTIVE |
| M. Wasserman & Co., Inc. CRD: 14876 | - | 0 | 0 | A | INACTIVE |
| M. Wittenstein & Co. CRD: 543 | - | 0 | 0 | A | INACTIVE |
| M. Zucker, Inc. CRD: 5467 | - | 4 | 0 | C | INACTIVE |
| M.A. Gillespie Investment Corp. CRD: 10355 | - | 0 | 0 | A | INACTIVE |
| M.A. Global Investment Advisor, LLC CRD: 298211 | - | 0 | 1 | - | Unknown |
| M.A. Whelan Financial Planning CRD: 140357 | - | 0 | 1 | - | Unknown |
| M.B. Engdahl & Co. CRD: 126473 | - | 0 | 1 | - | Unknown |
| M.B. Global Asset Allocation, Inc. CRD: 27116 | - | 0 | 0 | A | INACTIVE |
| M.B.A. Investments, Inc. CRD: 14118 | - | 0 | 0 | A | INACTIVE |
| M.B.C. Capital Corporation CRD: 14460 | - | 0 | 0 | A | INACTIVE |
| M.BROWN Financial Advisors CRD: 312364 | - | 0 | 1 | - | Unknown |
| M.C. BYRD Wealth Management, LLC CRD: 151070 | - | 0 | 1 | - | Unknown |
| M.C. Draper Capital Management CRD: 108202 | - | 0 | 0 | - | Unknown |
| M.C. Financial Corporation CRD: 26076 | - | 0 | 0 | A | INACTIVE |
| M.D. Advisors, Inc. CRD: 16479 | - | 0 | 0 | A | INACTIVE |
| M.D. Billy & Co., Inc. CRD: 19909 | - | 0 | 0 | A | INACTIVE |
| M.D. Poitinger and Co., Inc. CRD: 16808 | - | 0 | 0 | A | INACTIVE |
| M.D. Sass Associates Inc. CRD: 110596 | - | 0 | 0 | - | Unknown |
| M.D. Sass Securities, L.L.C. CRD: 139760 | NY | 1 | 2 | B | Active |
| M.D. Sass, LLC CRD: 167331 | - | 0 | 0 | - | Unknown |
| M.D. Sass, LLC CRD: 110590 | - | 0 | 2 | - | Unknown |
| M.D. Sass-Macquarie Financial Strategies Managemen… CRD: 124506 | - | 0 | 1 | - | Unknown |
| M.D.M. Investment Associates,Inc. CRD: 14488 | - | 0 | 0 | A | INACTIVE |
| M.E. Doll, LLC CRD: 146576 | - | 0 | 0 | - | Unknown |
| M.E.S.A. Securities, Inc. CRD: 136138 | - | 0 | 0 | A | INACTIVE |
| M.F. Diessner Securities Corp. CRD: 16021 | - | 0 | 0 | A | INACTIVE |
| M.G. Morgan & Company CRD: 15721 | - | 0 | 0 | A | INACTIVE |
| M.G. Tivon Securities, Inc. CRD: 31582 | - | 0 | 0 | A | INACTIVE |
| M.G.S.I. Securities, Inc. CRD: 16723 | - | 0 | 0 | A | INACTIVE |
| M.H. Davidson & Co., L.L.C. CRD: 13708 | - | 1 | 0 | B | INACTIVE |
| M.H. Wealth Strategies, LLC CRD: 283811 | - | 0 | 0 | - | Unknown |
| M.J. Grossnickle, LLC CRD: 313071 | ME | 0 | 1 | A | Active |
| M.J. Held Securities Corp. CRD: 10338 | - | 0 | 0 | A | INACTIVE |
| M.J. Loeser & Co., Inc. CRD: 24336 | - | 0 | 0 | A | INACTIVE |
| M.J. Meehan & Co., LLC CRD: 34193 | - | 3 | 0 | C | INACTIVE |
| M.J. Weinburg & Company Inc. CRD: 32071 | - | 0 | 0 | A | INACTIVE |
| M.J. Wray Corp. CRD: 39423 | - | 0 | 0 | A | INACTIVE |
| M.J.P. Securities Corp. CRD: 33169 | - | 0 | 0 | A | INACTIVE |
| M.J.T. Securities, LLC CRD: 44387 | - | 0 | 0 | A | INACTIVE |
| M.K. Brown Wealth Advisory CRD: 121269 | - | 0 | 2 | - | Unknown |
| M.K. Byrne & Co. LLC CRD: 306382 | - | 0 | 1 | - | Unknown |
| M.L. Stern & Co., LLC. CRD: 8327 | - | 17 | 0 | D | INACTIVE |
| M.L. Wellons Investments, Inc. CRD: 11536 | - | 0 | 0 | A | INACTIVE |
| M.L.W. Mutual Funds Inc. CRD: 14921 | - | 0 | 0 | A | INACTIVE |
| M.M. Dillon & Co. LLC CRD: 19878 | CT | 2 | 1 | B | Active |