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 |
|---|---|---|---|---|---|
| Magnolia Wealth Management LLC CRD: 297598 | - | 0 | 1 | - | Unknown |
| Magnum Financial CRD: 152081 | - | 0 | 1 | - | Unknown |
| Magnum Opus Fund CRD: 338195 | - | 0 | 1 | - | Unknown |
| Magnum Research Global Limited CRD: 291667 | - | 0 | 0 | - | Unknown |
| Magnum Securities of NEW York Inc. CRD: 39267 | - | 5 | 0 | C | INACTIVE |
| Magnum Securities, Inc. CRD: 15415 | - | 0 | 0 | A | INACTIVE |
| Magnum Tech Partners, LLC CRD: 316358 | - | 0 | 1 | - | Unknown |
| Magnus & Co. Incorporated CRD: 2627 | - | 0 | 0 | A | INACTIVE |
| Magnus and Company CRD: 6982 | - | 0 | 0 | A | INACTIVE |
| Magnus Capital, Inc. CRD: 22072 | - | 0 | 0 | A | INACTIVE |
| Magnus Financial Group LLC CRD: 289423 | - | 0 | 3 | - | Unknown |
| Magnus Financials LLC CRD: 341239 | - | 0 | 1 | - | Unknown |
| Magpie Consulting LLC CRD: 149253 | - | 0 | 1 | - | Unknown |
| Magrath Capital LLC CRD: 165866 | - | 0 | 0 | - | Unknown |
| Magstar Capital, LLC CRD: 297559 | NY | 0 | 2 | A | Active |
| Maguire Asset Management, LLC CRD: 132407 | - | 0 | 1 | - | Unknown |
| Maguire Investments LLC CRD: 164039 | - | 0 | 1 | - | Unknown |
| Maguire Investments, Inc. CRD: 18 | - | 0 | 0 | A | INACTIVE |
| Magv Securities, Inc. CRD: 142082 | NJ | 0 | 2 | A | Active |
| MAH Investment Management CRD: 155092 | - | 0 | 0 | - | Unknown |
| Mahaffey Financial LLC CRD: 138464 | - | 0 | 1 | - | Unknown |
| Mahak Inc CRD: 135749 | - | 0 | 0 | - | Unknown |
| Mahalo Advisory Services, LLC CRD: 144793 | - | 0 | 2 | - | Unknown |
| Mahan Investment Counsel CRD: 114418 | - | 0 | 0 | - | Unknown |
| Maher Capital Management, Inc. CRD: 145212 | - | 0 | 0 | - | Unknown |
| Maher Consulting Services, LLC CRD: 170907 | - | 0 | 0 | - | Unknown |
| Mahler & Emerson Inc. CRD: 7826 | - | 7 | 0 | D | INACTIVE |
| Mahlon Robertson Company CRD: 3195 | - | 0 | 0 | A | INACTIVE |
| Mahoney Fiorentino & Co P.C. CRD: 135938 | - | 0 | 2 | - | Unknown |
| Mahonia Capital Management, LLC CRD: 287641 | - | 0 | 0 | - | Unknown |
| Mahway Management, LLC CRD: 337248 | - | 0 | 0 | - | Unknown |
| MAI Capital Advisor CRD: 136042 | - | 0 | 1 | - | Unknown |
| MAI Capital Management, LLC CRD: 109807 | - | 0 | 266 | - | Unknown |
| Maia Securities, Inc. CRD: 111394 | - | 1 | 0 | B | INACTIVE |
| Maia Wealth CRD: 292817 | - | 0 | 26 | - | Unknown |
| Maiden Cove Capital CRD: 312478 | - | 0 | 3 | - | Unknown |
| Maiden Lane Partners LLC CRD: 170089 | - | 0 | 0 | - | Unknown |
| Maiden Lane Ventures II , LLC CRD: 288633 | - | 0 | 1 | - | Unknown |
| Maiden Lane Ventures, LLC CRD: 171759 | - | 0 | 1 | - | Unknown |
| Maidstone Financial, Inc. CRD: 31804 | - | 0 | 0 | A | INACTIVE |
| Maidstone Wealth Management, LLC CRD: 291873 | - | 0 | 1 | - | Unknown |
| Maier Siebel Baber CRD: 281046 | - | 0 | 0 | - | Unknown |
| Maierhofer Wealth CRD: 331501 | - | 0 | 1 | - | Unknown |
| Maierhofer Wealth Management, LLC CRD: 166716 | - | 0 | 0 | - | Unknown |
| Maimon Wealth Management Ltd. CRD: 298566 | - | 0 | 0 | - | Unknown |
| Main & Wall Capital Management, Corp CRD: 298370 | - | 0 | 1 | - | Unknown |
| Main Advisory, Inc. CRD: 328040 | - | 0 | 2 | - | Unknown |
| Main Capital Partners B.V. CRD: 291388 | - | 0 | 0 | - | Unknown |
| Main Capital Partners North America LLC CRD: 329886 | - | 0 | 1 | - | Unknown |
| Main Effort Financial, Inc. CRD: 297091 | - | 0 | 1 | - | Unknown |