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.N. Bartakke & Associates CRD: 117735 | - | 0 | 0 | - | Unknown |
| M.N. Securities,Inc. CRD: 14450 | - | 0 | 0 | A | INACTIVE |
| M.ONE Investment Securities, Inc. CRD: 26267 | - | 0 | 0 | A | INACTIVE |
| M.P. Collins Wealth Advisor Alliance, LLC CRD: 139614 | - | 0 | 2 | - | Unknown |
| M.P. Linn, Inc. CRD: 42874 | - | 0 | 0 | A | INACTIVE |
| M.S. Equities, Inc. CRD: 16772 | - | 0 | 0 | A | INACTIVE |
| M.S. Etheredge & Co., Inc. CRD: 7648 | - | 0 | 0 | A | INACTIVE |
| M.S. Farrell & Company, Inc. CRD: 24232 | - | 17 | 0 | D | INACTIVE |
| M.S. Kerns Investments, Inc. CRD: 17882 | - | 0 | 0 | A | INACTIVE |
| M.S. Lampe and Associates CRD: 123723 | - | 0 | 0 | - | Unknown |
| M.S.U., Inc. CRD: 17011 | - | 0 | 0 | A | INACTIVE |
| M.T. & Associates, L.P. CRD: 43902 | - | 0 | 0 | A | INACTIVE |
| M.T. Glantz Financial Corporation CRD: 16975 | - | 1 | 0 | B | INACTIVE |
| M.W. Marshall Securities, L.L.C CRD: 42090 | - | 0 | 0 | A | INACTIVE |
| M.W. Securities Corporation CRD: 29164 | - | 0 | 0 | A | INACTIVE |
| M.W. Sherbring and Company, Inc. CRD: 16482 | - | 0 | 0 | A | INACTIVE |
| M.Y. Safra Securities, Inc. CRD: 7583 | - | 2 | 0 | B | INACTIVE |
| M.Z. Kark & Associates, Inc CRD: 106627 | - | 0 | 1 | - | Unknown |
| M/G Securities, Inc. CRD: 6880 | - | 0 | 0 | A | INACTIVE |
| M1 Capital Management LLC CRD: 158269 | - | 0 | 5 | - | Unknown |
| M1 Capital, LLC CRD: 318364 | - | 0 | 1 | - | Unknown |
| M1 Energy Capital Securities, LLC CRD: 127298 | - | 0 | 0 | A | INACTIVE |
| M1 Finance CRD: 249787 | - | 0 | 15 | - | Unknown |
| M1 Finance LLC CRD: 281242 | IL | 3 | 3 | B | Active |
| M12 Wealth Management LLC CRD: 315977 | - | 0 | 0 | - | Unknown |
| M13 Holdings Company, LLC CRD: 305020 | - | 0 | 1 | - | Unknown |
| M13 Ventures Management, LLC CRD: 301245 | - | 0 | 1 | - | Unknown |
| M1720 Management CRD: 328363 | - | 0 | 0 | - | Unknown |
| M2 Advisors Inc. CRD: 305757 | - | 0 | 0 | - | Unknown |
| M2 Capital Advisors CRD: 288829 | - | 0 | 1 | - | Unknown |
| M2 Financial CRD: 284415 | - | 0 | 0 | - | Unknown |
| M2 Financial LLC CRD: 327044 | - | 0 | 1 | - | Unknown |
| M2 Investment Advisors, Inc. CRD: 136538 | - | 0 | 0 | - | Unknown |
| M25 CRD: 304760 | - | 0 | 1 | - | Unknown |
| M26 Capital CRD: 327764 | - | 0 | 0 | - | Unknown |
| M28 Capital Management LP CRD: 307490 | - | 0 | 1 | - | Unknown |
| M2G Ventures LLC CRD: 322399 | - | 0 | 1 | - | Unknown |
| M3 Advisors, LLC CRD: 170248 | - | 0 | 1 | - | Unknown |
| M3 Advisory Group, LLC CRD: 156208 | - | 0 | 2 | - | Unknown |
| M3 Asset Management, Inc. CRD: 169461 | - | 0 | 1 | - | Unknown |
| M3 Capital Advisors CRD: 305922 | - | 0 | 0 | - | Unknown |
| M3 Investment Group LLC CRD: 108888 | - | 0 | 0 | A | INACTIVE |
| M3 Risk Management Advisors, LLC CRD: 285152 | - | 0 | 0 | - | Unknown |
| M3 Wealth Management CRD: 335612 | - | 0 | 1 | - | Unknown |
| M31 Capital Management, LLC CRD: 321850 | - | 0 | 1 | - | Unknown |
| M31 Management Limited CRD: 307802 | - | 0 | 0 | - | Unknown |
| M33 Growth LLC CRD: 290447 | - | 0 | 1 | - | Unknown |
| M360 Advisors, LLC CRD: 285825 | - | 0 | 0 | - | Unknown |
| M37 Management LP CRD: 332714 | - | 0 | 1 | - | Unknown |
| M3Alpha LLC CRD: 159576 | - | 0 | 0 | - | Unknown |