Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| J. Streicher & Co. L.L.C. CRD: 3526 | NY | 9 | 1 | D | Active |
| J.C. Flowers Securities Co. LLC CRD: 168757 | NY | 0 | 3 | A | Active |
| J.H. Darbie & Co., Inc. CRD: 43520 | NY | 12 | 8 | B | Active |
| J.P. Morgan Institutional Investments Inc. CRD: 102920 | NY | 0 | 15 | A | Active |
| J.P. Morgan Prime Inc. CRD: 282107 | NY | 0 | 3 | A | Active |
| J.P. Morgan Securities LLC CRD: 79 | NY | 547 | 6,951 | B | Active |
| Jahani Securities Inc. CRD: 299801 | NY | 0 | 2 | A | Active |
| Jamieson Corporate Finance US LLC CRD: 170172 | NY | 0 | 3 | A | Active |
| Jane Street Capital, LLC CRD: 103782 | NY | 2 | 2 | D | Active |
| Jane Street Execution Services, LLC CRD: 167280 | NY | 0 | 2 | A | Active |
| Jane Street Options, LLC CRD: 134159 | NY | 2 | 2 | C | Active |
| Javelin Private Capital Group LLC CRD: 310169 | NY | 0 | 2 | A | Active |
| JB Drax Honore' Inc. CRD: 322118 | NY | 3 | 1 | C | Active |
| Jefferies LLC CRD: 2347 | NY | 137 | 42 | D | Active |
| Jefferies Prime Finance LLC CRD: 337480 | NY | 0 | 1 | A | Active |
| Jett Capital Advisors, LLC CRD: 169127 | NY | 0 | 2 | A | Active |
| JM Financial Securities, Inc. CRD: 166504 | NY | 0 | 2 | A | Active |
| Joseph Grace CRD: 103580 | NY | 1 | 5 | B | Active |
| Joseph Gunnar & Co. LLC CRD: 24795 | NY | 18 | 3 | C | Active |
| Joseph Stone Capital L.L.C. CRD: 159744 | NY | 8 | 4 | B | Active |
| JP Portsmouth Capital LLC CRD: 331351 | NY | 0 | 2 | A | Active |
| K Capital LLC CRD: 147191 | NY | 0 | 3 | A | Active |
| K2 Capital Asset Management, LLC CRD: 328298 | NY | 0 | 2 | A | Active |
| Kahn Brothers LLC CRD: 7720 | NY | 0 | 2 | A | Active |
| KBD Securities, LLC CRD: 104110 | NY | 0 | 2 | A | Active |
| KBFG Securities America Inc. CRD: 39356 | NY | 0 | 2 | A | Active |
| Keefe, Bruyette & Woods, Inc. CRD: 481 | NY | 17 | 17 | C | Active |
| Kenmar Securities, LLC CRD: 171793 | NY | 0 | 2 | A | Active |
| Kennedy Lewis Capital Markets LLC CRD: 324209 | NY | 0 | 2 | A | Active |
| Kensington Capital Corp. CRD: 1742 | NY | 10 | 2 | C | Active |
| Kepler Capital Markets, Inc. CRD: 139148 | NY | 1 | 2 | B | Active |
| Keystone Global CRD: 159341 | NY | 0 | 2 | A | Active |
| Kidron Capital Securities LLC CRD: 149826 | NY | 0 | 3 | A | Active |
| Kimelman & Baird, LLC CRD: 2440 | NY | 5 | 3 | B | Active |
| Kinetics Funds Distributor LLC CRD: 780 | NY | 0 | 2 | A | Active |
| Kingsrock Securities LLC CRD: 325143 | NY | 0 | 2 | A | Active |
| Kiwoom Securities (USA) Inc. CRD: 31977 | NY | 1 | 2 | B | Active |
| KKR Capital Markets LLC CRD: 143571 | NY | 0 | 6 | A | Active |
| Kleon Financial, LLC CRD: 121537 | NY | 0 | 3 | A | Active |
| KNG Securities USA Inc CRD: 335822 | NY | 0 | 2 | A | Active |
| Known Growth LLC CRD: 322351 | NY | 0 | 1 | A | Active |
| Kopentech Capital Markets LLC CRD: 299808 | NY | 0 | 3 | A | Active |
| Korea Investment & Securities America, Inc. CRD: 104158 | NY | 0 | 2 | A | Active |
| Kotak Mahindra, Inc. CRD: 47251 | NY | 0 | 2 | A | Active |
| KW Securities Corporation CRD: 8237 | NY | 3 | 2 | B | Active |
| Ladenburg Thalmann & Co. Inc. CRD: 505 | NY | 50 | 7 | D | Active |
| Latour Trading LLC CRD: 150887 | NY | 4 | 2 | B | Active |
| Lazard Asset Management Securities LLC CRD: 129119 | NY | 0 | 4 | A | Active |
| Lazard Freres & Co. LLC CRD: 2528 | NY | 16 | 10 | D | Active |
| League Capital Markets CRD: 170803 | NY | 0 | 2 | A | Active |