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 |
|---|---|---|---|---|---|
| Mainline West Fund Manager LLC CRD: 147532 | - | 0 | 1 | - | Unknown |
| Mainline West Municipal Securities LLC CRD: 148020 | CO | 0 | 2 | A | Active |
| Mainsail Asset Management, LLC CRD: 128373 | - | 0 | 1 | - | Unknown |
| Mainsail Capital Management LLC CRD: 336267 | - | 0 | 1 | - | Unknown |
| Mainsail Financial Group CRD: 317970 | - | 0 | 2 | - | Unknown |
| Mainsail Group LLC CRD: 123030 | - | 0 | 0 | A | INACTIVE |
| Mainsail Partners CRD: 157775 | - | 0 | 1 | - | Unknown |
| Mainspring Capital Management, LLC CRD: 168756 | CA | 0 | 2 | A | Active |
| Mainspring Wealth Advisors CRD: 288790 | - | 0 | 2 | - | Unknown |
| Mainstage Capital Group, LLC CRD: 324821 | - | 0 | 1 | - | Unknown |
| Mainstay Capital CRD: 312352 | - | 0 | 2 | - | Unknown |
| Mainstay Capital Management, LLC CRD: 109528 | - | 0 | 9 | - | Unknown |
| Mainstay Financial, LLC CRD: 281378 | - | 0 | 0 | - | Unknown |
| Mainstone Capital Management LLC CRD: 305868 | - | 0 | 0 | - | Unknown |
| Mainstream Capital Management CRD: 297145 | - | 0 | 2 | - | Unknown |
| Mainstreet Advisors CRD: 146615 | - | 0 | 6 | - | Unknown |
| Mainstreet Advisors, Inc. CRD: 159673 | - | 0 | 0 | - | Unknown |
| Mainstreet Advisors, LLC CRD: 310795 | - | 0 | 1 | - | Unknown |
| Mainstreet Advisors, LLC CRD: 282130 | - | 0 | 0 | - | Unknown |
| Mainstreet Asset Management, LLC CRD: 147516 | - | 0 | 0 | - | Unknown |
| Mainstreet Capital Management CRD: 111429 | - | 0 | 0 | - | Unknown |
| Mainstreet RIA LLC CRD: 309150 | - | 0 | 1 | - | Unknown |
| Mainwall Investment Management, LLC CRD: 156091 | - | 0 | 1 | - | Unknown |
| Maio, Alexander Edward CRD: 122196 | - | 0 | 0 | A | INACTIVE |
| Maiora Asset Management PTE. Ltd. CRD: 290126 | - | 0 | 0 | - | Unknown |
| Maiorini, Alex CRD: 156182 | - | 0 | 0 | - | Unknown |
| Mairs & Power CRD: 110351 | - | 0 | 1 | - | Unknown |
| Mairs & Power Venture Capital CRD: 314864 | - | 0 | 0 | - | Unknown |
| Maisel Financial, Inc CRD: 104568 | - | 0 | 0 | - | Unknown |
| Majestic Capital Management, LLC CRD: 122412 | - | 0 | 0 | - | Unknown |
| Majestic OAK Financial, LLC CRD: 133067 | - | 0 | 2 | - | Unknown |
| Majestic Securities CRD: 15760 | - | 0 | 0 | A | INACTIVE |
| Majestic Securities LLC CRD: 135126 | - | 0 | 0 | A | INACTIVE |
| Majo Services LLC CRD: 329348 | - | 0 | 1 | - | Unknown |
| Major Distribution Investments LLC CRD: 312980 | - | 0 | 0 | - | Unknown |
| Major Securities,Inc. CRD: 14557 | - | 0 | 0 | A | INACTIVE |
| Major Turning Points LLC CRD: 288343 | - | 0 | 0 | - | Unknown |
| Majority Asset Management, Inc. CRD: 110891 | - | 0 | 2 | - | Unknown |
| Majsterek, Teresa Maria CRD: 33227 | - | 0 | 0 | A | INACTIVE |
| MAK Capital CRD: 158132 | - | 0 | 1 | - | Unknown |
| Makaira Partners, LLC CRD: 153729 | - | 0 | 1 | - | Unknown |
| Makara CRD: 312664 | - | 0 | 0 | - | Unknown |
| Makarios Investments Inc CRD: 338356 | - | 0 | 1 | - | Unknown |
| Makarora CRD: 329275 | - | 0 | 1 | - | Unknown |
| Make a Money Mindshift, LLC CRD: 312896 | - | 0 | 0 | - | Unknown |
| Make the Memory Financial Planning CRD: 331666 | - | 0 | 0 | - | Unknown |
| Make WAY Wealth Management CRD: 301995 | - | 0 | 2 | - | Unknown |
| Makeda Capital, LLC CRD: 171413 | - | 0 | 0 | - | Unknown |
| Makefield Wealth Management LLC CRD: 305629 | - | 0 | 0 | - | Unknown |
| Makena Capital Management, LLC CRD: 156855 | - | 0 | 2 | - | Unknown |