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 |
|---|---|---|---|---|---|
| Appaloosa LP CRD: 281909 | - | 0 | 1 | - | Unknown |
| Appaloosa Wealth Management LLC CRD: 169935 | - | 0 | 1 | - | Unknown |
| Appco Securities, Inc. CRD: 14349 | - | 0 | 0 | A | INACTIVE |
| Appi Inc. CRD: 299573 | - | 0 | 0 | - | Unknown |
| Appia Financial Services CRD: 335559 | NJ | 0 | 1 | A | Active |
| Appian Capital Advisory Limited CRD: 337802 | - | 0 | 0 | - | Unknown |
| Appian Capital Advisory LLP CRD: 169511 | - | 0 | 0 | - | Unknown |
| Appian Road LLC CRD: 167709 | - | 0 | 1 | - | Unknown |
| Appian WAY Asset Management LP CRD: 306399 | - | 0 | 0 | - | Unknown |
| Appian WAY Capital Advisors, LLC CRD: 308750 | - | 0 | 0 | - | Unknown |
| Appian WAY Energy Partners, LLC CRD: 174317 | - | 0 | 1 | - | Unknown |
| Appian WAY Financial CRD: 168109 | - | 0 | 1 | - | Unknown |
| Apple & Associates CRD: 126849 | - | 0 | 4 | - | Unknown |
| Apple & Company, Inc. CRD: 142298 | - | 0 | 1 | - | Unknown |
| Apple Lane Group LLC CRD: 129331 | - | 0 | 0 | A | INACTIVE |
| Apple Securities LLC CRD: 44693 | - | 0 | 0 | A | INACTIVE |
| Apple Securities, Inc. CRD: 19799 | - | 0 | 0 | A | INACTIVE |
| Apple Securities, Inc. CRD: 31851 | - | 0 | 0 | A | INACTIVE |
| Apple Tree Asset Management, LLC CRD: 298437 | - | 0 | 1 | - | Unknown |
| Apple Tree Investments, Inc. CRD: 144444 | - | 1 | 0 | B | INACTIVE |
| Apple Tree Venture Management LLC CRD: 163705 | - | 0 | 1 | - | Unknown |
| Apple Tree Wealth Management, LLC CRD: 160162 | - | 0 | 0 | - | Unknown |
| Applebrook Advisors LLC CRD: 157783 | - | 0 | 0 | - | Unknown |
| Appleby Advisory LLC CRD: 281415 | - | 0 | 1 | - | Unknown |
| Appleseed Advisory, LLC CRD: 342466 | - | 0 | 1 | - | Unknown |
| Appleton Cantrell LLC CRD: 240787 | - | 0 | 0 | - | Unknown |
| Appleton House Advisors CRD: 163807 | - | 0 | 0 | - | Unknown |
| Appleton Investment Management Inc. CRD: 113576 | - | 0 | 2 | - | Unknown |
| Appleton Partners, Inc. CRD: 110049 | - | 0 | 1 | - | Unknown |
| Applewhite & Buys Financial Advisors CRD: 169799 | - | 0 | 1 | - | Unknown |
| Applewood Asset Management LLC CRD: 284851 | - | 0 | 0 | - | Unknown |
| Applied Academics CRD: 340114 | - | 0 | 1 | - | Unknown |
| Applied Advisor CRD: 126725 | - | 0 | 1 | - | Unknown |
| Applied Capital CRD: 128996 | - | 0 | 1 | - | Unknown |
| Applied Capital LLC CRD: 166175 | - | 0 | 6 | - | Unknown |
| Applied Capital, Inc. CRD: 24273 | - | 0 | 0 | A | INACTIVE |
| Applied Crypto Ventures CRD: 301782 | - | 0 | 0 | - | Unknown |
| Applied Derivative Research or "ADR" CRD: 312490 | - | 0 | 1 | - | Unknown |
| Applied Finance Advisors, LLC CRD: 140054 | - | 0 | 1 | - | Unknown |
| Applied Financial Wisdom CRD: 164428 | - | 0 | 2 | - | Unknown |
| Applied Fundamental Research, LLC CRD: 167645 | - | 0 | 2 | - | Unknown |
| Applied Investment Technology, Inc CRD: 120427 | - | 0 | 0 | - | Unknown |
| Applied Quantitative Investments LLC CRD: 339159 | - | 0 | 1 | - | Unknown |
| Applied Quantitative Solutions, L.L.C. CRD: 34238 | - | 0 | 0 | A | INACTIVE |
| Applied Trend Research, LLC CRD: 281367 | - | 0 | 0 | - | Unknown |
| Applied Ventures, LLC CRD: 334249 | - | 0 | 1 | - | Unknown |
| Applied Wealth Management CRD: 318732 | - | 0 | 3 | - | Unknown |
| Applied Wealth Management, Inc. CRD: 115883 | - | 0 | 0 | - | Unknown |
| Appomattox Advisory, Inc CRD: 153731 | - | 0 | 1 | - | Unknown |
| Apposite Capital LLP CRD: 159522 | - | 0 | 0 | - | Unknown |