Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| AAG CAPITAL, INC CRD: 188 | FL | 1 | 1 | F | Active |
| AAG MANAGEMENT CO. CRD: 173957 | — | 0 | 0 | A | Unknown |
| AAIM FINANCIAL CRD: 318351 | — | 0 | 0 | A | Unknown |
| AAM CRD: 109875 | — | 0 | 0 | A | Unknown |
| AAM SECURITIES, INC. CRD: 15383 | — | 0 | 0 | A | INACTIVE |
| AAN WEALTH ADVISORS LLC CRD: 300652 | — | 0 | 0 | A | Unknown |
| AAOGI INVESTMENT CORP. CRD: 31267 | — | 0 | 0 | A | INACTIVE |
| AARHUS ADVISORS, LLC CRD: 330639 | — | 0 | 0 | A | Unknown |
| AARON ANSHIN & ASSOCIATES LLC CRD: 314756 | — | 0 | 0 | A | Unknown |
| AARON DIAMOND CRD: 14052 | — | 0 | 0 | A | INACTIVE |
| AARON WEALTH ADVISORS CRD: 298079 | — | 0 | 0 | A | Unknown |
| AARP FINANCIAL, INC. CRD: 316492 | — | 0 | 0 | A | Unknown |
| AAVCF LLC CRD: 298167 | — | 0 | 0 | A | Unknown |
| AAVIN EQUITY ADVISORS, LLC CRD: 170599 | — | 0 | 0 | A | Unknown |
| AB HHELIO ASSOCIATES, INC. CRD: 119567 | — | 0 | 0 | A | Unknown |
| AB-ALLEN FINANCIAL, LLC CRD: 115022 | — | 0 | 0 | A | Unknown |
| ABA CAPITAL LLC CRD: 301570 | — | 0 | 0 | A | Unknown |
| ABAC CAPITAL CRD: 284831 | — | 0 | 0 | A | Unknown |
| ABACI CAPITAL ADVISORS, LLC CRD: 161576 | — | 0 | 0 | A | Unknown |
| ABACO ASSET MANAGEMENT LLP CRD: 167586 | — | 0 | 0 | A | Unknown |
| ABACUS & ASSOCIATES, INC. CRD: 16990 | — | 0 | 0 | A | INACTIVE |
| ABACUS CAPITAL ADVISORS CRD: 309295 | — | 0 | 0 | A | Unknown |
| ABACUS FCF ADVISORS LLC CRD: 135152 | — | 0 | 0 | A | Unknown |
| ABACUS INVESTMENTS LLC CRD: 327805 | — | 0 | 0 | A | Unknown |
| ABACUS INVESTMENTS, INC. CRD: 35127 | WI | 0 | 1 | A | Active |
| ABACUS, INC. CRD: 47291 | — | 0 | 0 | A | INACTIVE |
| ABALONE COVE ADVISORS CRD: 137009 | — | 0 | 0 | A | Unknown |
| ABAM, INC. CRD: 170625 | — | 0 | 0 | A | Unknown |
| ABARR LLC CRD: 322703 | — | 0 | 0 | A | Unknown |
| ABBAS A. HEYDARI,CFP® CRD: 113480 | — | 0 | 0 | A | Unknown |
| ABBEY CAPITAL (US) LLC CRD: 147760 | — | 0 | 0 | A | INACTIVE |
| ABBILON INVESTMENTS CRD: 285520 | — | 0 | 0 | A | Unknown |
| ABBIT MANAGEMENT CORP CRD: 110507 | — | 0 | 0 | A | Unknown |
| ABBOTT (JR), JAMES DELOACH CRD: 41011 | — | 0 | 0 | A | INACTIVE |
| ABBY ADVISORS LLC CRD: 334101 | — | 0 | 0 | A | Unknown |
| ABC ARBITRAGE ASSET MANAGEMENT S.A. CRD: 161564 | — | 0 | 0 | A | Unknown |
| ABC WEALTH INC CRD: 284592 | — | 0 | 0 | A | Unknown |
| ABC WEALTH PR LLC CRD: 330603 | — | 0 | 0 | A | Unknown |
| ABDIEL ADVISORS LLC CRD: 285561 | — | 0 | 0 | A | Unknown |
| ABDIEL ADVISORS, LLC CRD: 317729 | — | 0 | 0 | A | Unknown |
| ABDIEL CAPITAL ADVISORS, LP CRD: 161410 | — | 0 | 0 | A | Unknown |
| ABEL ADVISORY CRD: 112724 | — | 0 | 0 | A | Unknown |
| ABEL CIO INC. CRD: 312800 | — | 0 | 0 | A | Unknown |
| ABEL HALL, LLC CRD: 302076 | — | 0 | 0 | A | Unknown |
| ABEL'S HILL CAPITAL CORP. CRD: 36366 | — | 0 | 0 | A | INACTIVE |
| ABEL-BEHNKE CORPORATION CRD: 39811 | — | 0 | 0 | A | INACTIVE |
| ABEL/NOSER CORP. CRD: 7537 | — | 8 | 0 | F | INACTIVE |
| ABER INVESTMENTS CRD: 142835 | — | 0 | 0 | A | Unknown |
| ABERDOUR INVESTMENTS CRD: 299195 | — | 0 | 0 | A | Unknown |
| ABFS SECURITIES, INC. CRD: 38525 | — | 0 | 0 | A | INACTIVE |