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 |
|---|---|---|---|---|---|
| M3F, Inc. CRD: 151191 | - | 0 | 2 | - | Unknown |
| M3Sixty Advisors, LLC CRD: 155351 | - | 0 | 0 | - | Unknown |
| M3Sixty Capital, LLC CRD: 323764 | - | 0 | 4 | - | Unknown |
| M4 Wealth Management, PLLC CRD: 296971 | - | 0 | 0 | - | Unknown |
| M4a3 LLC CRD: 336172 | - | 0 | 1 | - | Unknown |
| M6:33 Capital CRD: 312733 | - | 0 | 0 | - | Unknown |
| M7 Real Estate Ltd CRD: 282250 | - | 0 | 0 | - | Unknown |
| M81 Capital, LLC CRD: 164068 | - | 0 | 0 | - | Unknown |
| M83 Investment Group, LLC CRD: 332416 | - | 0 | 1 | - | Unknown |
| MA Asset Management, LLC CRD: 283673 | - | 0 | 1 | - | Unknown |
| MA Investment Management PTY Ltd CRD: 328316 | - | 0 | 0 | - | Unknown |
| MA Private Wealth, LLC CRD: 291366 | - | 0 | 2 | - | Unknown |
| MA Wealth Management CRD: 151726 | - | 0 | 0 | - | Unknown |
| MAA - Mentor Alternative Advisors LLC CRD: 154411 | - | 0 | 0 | A | INACTIVE |
| Maagon Advisors Inc CRD: 312458 | - | 0 | 0 | - | Unknown |
| Maam GP PTY Ltd CRD: 328215 | - | 0 | 0 | - | Unknown |
| Maat Investment Group GMBH CRD: 332840 | - | 0 | 0 | - | Unknown |
| Maaxiom Capital LLC CRD: 314871 | - | 0 | 1 | - | Unknown |
| MAB Financial Planning CRD: 132925 | - | 0 | 1 | - | Unknown |
| Mabery Consulting, LLC CRD: 311780 | - | 0 | 1 | - | Unknown |
| Mabon, Nugent & Co. CRD: 2617 | - | 0 | 0 | A | INACTIVE |
| Mabry Wealth Management, LLC CRD: 300368 | - | 0 | 1 | - | Unknown |
| Mabsco Capital, Inc. CRD: 28627 | - | 0 | 0 | A | INACTIVE |
| MAC Adams Wealth Advisors, LLC CRD: 148409 | - | 0 | 2 | - | Unknown |
| MAC Alpha Capital Management, LP CRD: 311412 | - | 0 | 1 | - | Unknown |
| MAC Investment Management CRD: 149788 | - | 0 | 2 | - | Unknown |
| MAC Venture Capital CRD: 308907 | - | 0 | 1 | - | Unknown |
| MAC Wealth Management Inc. CRD: 143923 | - | 0 | 0 | - | Unknown |
| Macallaster Pitfield Mackay Inc. CRD: 3046 | - | 6 | 0 | D | INACTIVE |
| Macallen Capital CRD: 341240 | - | 0 | 1 | - | Unknown |
| Macarthur & Company CRD: 13628 | - | 0 | 0 | A | INACTIVE |
| Macarthur Equities Ltd. CRD: 15565 | - | 0 | 0 | A | INACTIVE |
| Macarthur Strategic Capital, LLC CRD: 315178 | CO | 0 | 2 | A | Active |
| Macarthur Strategies, Inc. CRD: 20678 | - | 4 | 0 | C | INACTIVE |
| Macarthur/Nathan Associates,Inc. CRD: 14589 | - | 0 | 0 | A | INACTIVE |
| Macatawa Investment Services, Inc. CRD: 118715 | - | 0 | 0 | A | INACTIVE |
| Macatawa Trading, LLC CRD: 144776 | - | 1 | 0 | B | INACTIVE |
| Macaulay & Associates, LLC CRD: 144717 | - | 0 | 1 | - | Unknown |
| Macc IV Group CRD: 143285 | - | 0 | 1 | - | Unknown |
| Maccabee Capital, LLC CRD: 103930 | - | 0 | 0 | A | INACTIVE |
| Maccabees Securities LLC CRD: 340041 | CA | 0 | 2 | A | Active |
| Maccabi Capital Management LLC CRD: 333219 | - | 0 | 0 | - | Unknown |
| Maccio Financial, LLC CRD: 169793 | - | 0 | 0 | - | Unknown |
| Macco Financial Group, Inc. CRD: 337398 | - | 0 | 1 | - | Unknown |
| Macdonald Wealth Management, LLC CRD: 300063 | - | 0 | 1 | - | Unknown |
| Macdougall Financial Counseling CRD: 104644 | - | 0 | 1 | - | Unknown |
| Mace Capital Management, LLC CRD: 134605 | - | 0 | 1 | - | Unknown |
| Macedon Financial Management, LLC CRD: 333269 | - | 0 | 1 | - | Unknown |
| Macedonio Ltd. CRD: 169965 | - | 0 | 0 | - | Unknown |
| Macelhenney Management, Inc. CRD: 124126 | - | 0 | 0 | - | Unknown |