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 |
|---|---|---|---|---|---|
| 3B Capital Management, LP CRD: 300098 | - | 0 | 1 | - | Unknown |
| 3B Private Wealth LLC CRD: 288204 | - | 0 | 0 | - | Unknown |
| 3B1 Partners, LLC CRD: 300835 | - | 0 | 1 | - | Unknown |
| 3CC | Third Culture Capital CRD: 313658 | - | 0 | 1 | - | Unknown |
| 3Chopt Investment Partners LLC CRD: 319125 | - | 0 | 1 | - | Unknown |
| 3CM Capital Management, LLC CRD: 306733 | - | 0 | 1 | - | Unknown |
| 3D Advisor Group, Inc. CRD: 342109 | - | 0 | 1 | - | Unknown |
| 3D Asset Management, Inc. CRD: 139595 | - | 0 | 0 | - | Unknown |
| 3D Holistic Wealth CRD: 331809 | - | 0 | 2 | - | Unknown |
| 3D Investment Partners PTE. Ltd. CRD: 282411 | - | 0 | 0 | - | Unknown |
| 3D Private Client Inc. CRD: 317281 | - | 0 | 0 | - | Unknown |
| 3D Wealth Advisors, Inc. CRD: 144765 | - | 0 | 0 | - | Unknown |
| 3D Wealth RIA, LLC CRD: 289081 | - | 0 | 0 | - | Unknown |
| 3D/L Capital Management, LLC CRD: 283304 | - | 0 | 0 | - | Unknown |
| 3Edge Asset Management, LP CRD: 282059 | - | 0 | 14 | - | Unknown |
| 3Fourteen & SMI Advisory Services, LLC CRD: 331301 | - | 0 | 1 | - | Unknown |
| 3G Capital LLC CRD: 298280 | - | 0 | 1 | - | Unknown |
| 3G Capital Management LLC CRD: 169776 | - | 0 | 1 | - | Unknown |
| 3G Capital Partners LP CRD: 156934 | - | 0 | 1 | - | Unknown |
| 3G Financial CRD: 317740 | IL | 0 | 4 | A | Active |
| 3I Corporation CRD: 159892 | - | 0 | 1 | - | Unknown |
| 3I Investments (Luxembourg) S.A. CRD: 307370 | - | 0 | 0 | - | Unknown |
| 3I Investments PLC CRD: 159880 | - | 0 | 0 | - | Unknown |
| 3I Management LLC CRD: 327514 | - | 0 | 1 | - | Unknown |
| 3I Partners Management, LLC CRD: 335656 | - | 0 | 1 | - | Unknown |
| 3I Wealth Management LLC CRD: 310590 | - | 0 | 1 | - | Unknown |
| 3ICO Securities LLC CRD: 173648 | PA | 0 | 3 | A | Active |
| 3IQ Digital Assets (US) Inc. CRD: 339627 | - | 0 | 1 | - | Unknown |
| 3J Capital CRD: 292257 | - | 0 | 0 | - | Unknown |
| 3L Capital Management, LLC CRD: 294003 | - | 0 | 1 | - | Unknown |
| 3Lines, LLC CRD: 305835 | - | 0 | 1 | - | Unknown |
| 3M Investment Management Corp CRD: 109098 | - | 0 | 0 | - | Unknown |
| 3ONE4 Capital FME Ifsc LLP CRD: 329667 | - | 0 | 0 | - | Unknown |
| 3P Equity Partners, LLC CRD: 297460 | - | 0 | 0 | - | Unknown |
| 3P Investment Managers Private Limited CRD: 330070 | - | 0 | 0 | - | Unknown |
| 3PE Advisors CRD: 290234 | TX | 0 | 2 | A | Active |
| 3PIM International (Ifsc) LLP CRD: 337394 | - | 0 | 0 | - | Unknown |
| 3RD Chronicle CRD: 336357 | - | 0 | 1 | - | Unknown |
| 3RD Creek Investments CRD: 115945 | - | 0 | 3 | - | Unknown |
| 3RD Level Analytics CRD: 329948 | - | 0 | 1 | - | Unknown |
| 3RD Level Wealth CRD: 315849 | - | 0 | 1 | - | Unknown |
| 3RD Street Capital Management L.L.C. CRD: 165950 | - | 0 | 1 | - | Unknown |
| 3Rodeo Partners, LLC CRD: 296963 | - | 0 | 1 | - | Unknown |
| 3Roots Wealth Partners LLC CRD: 338300 | - | 0 | 1 | - | Unknown |
| 3Sisters Sustainable Management, Inc CRD: 159207 | - | 0 | 2 | - | Unknown |
| 3Spoke Management, LLC CRD: 308919 | - | 0 | 1 | - | Unknown |
| 3Summit Funds LLC CRD: 335420 | - | 0 | 0 | - | Unknown |
| 3Summit Investment Management, LLC CRD: 284434 | - | 0 | 2 | - | Unknown |
| 3T Advisors LLC CRD: 152246 | - | 0 | 1 | - | Unknown |
| 3Tech Management LLC CRD: 334346 | - | 0 | 0 | - | Unknown |