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 |
|---|---|---|---|---|---|
| Appreciate Personal Finance CRD: 226689 | - | 0 | 0 | - | Unknown |
| Apprentis Ventures, LLC CRD: 332990 | - | 0 | 1 | - | Unknown |
| Approach Capital LLC CRD: 291807 | - | 0 | 1 | - | Unknown |
| Approach Retirement Advisors, LLC CRD: 166221 | - | 0 | 1 | - | Unknown |
| Appropriate Balance Financial Services Inc CRD: 105458 | - | 0 | 0 | - | Unknown |
| Apps Wealth Management, Inc. CRD: 288825 | - | 0 | 1 | - | Unknown |
| Apricity Financial, LLC CRD: 330201 | - | 0 | 5 | - | Unknown |
| Apricus Wealth LLC CRD: 306239 | - | 0 | 4 | - | Unknown |
| Apriem Advisors CRD: 108188 | - | 0 | 1 | - | Unknown |
| April Asset Management LLC CRD: 317614 | - | 0 | 0 | - | Unknown |
| Aprilante & Bomba, Inc. CRD: 44809 | - | 0 | 0 | A | INACTIVE |
| Aprilante, Anthony Michael CRD: 137011 | - | 0 | 0 | A | INACTIVE |
| Aprio Strategic Partners, LLC CRD: 112766 | - | 0 | 0 | A | INACTIVE |
| Aprio Wealth Management, LLC CRD: 127333 | - | 0 | 25 | - | Unknown |
| Apriori Capital Partners CRD: 169380 | - | 0 | 0 | - | Unknown |
| Apropos Financial Planning CRD: 130524 | - | 0 | 0 | - | Unknown |
| APS Asset Management International Limited CRD: 159987 | - | 0 | 0 | - | Unknown |
| APS Asset Management PTE Ltd CRD: 109189 | - | 0 | 0 | - | Unknown |
| APS Financial Corporation CRD: 10033 | - | 19 | 0 | F | INACTIVE |
| APS Financial Services Corp. CRD: 111941 | - | 0 | 0 | - | Unknown |
| APS Investment Management Group CRD: 153504 | - | 0 | 5 | - | Unknown |
| APS Investment Management, Inc. CRD: 170572 | - | 0 | 0 | - | Unknown |
| APS Labs, LLC CRD: 172175 | - | 0 | 0 | - | Unknown |
| APS Wealth Management CRD: 121848 | - | 0 | 0 | - | Unknown |
| APS Wealth Management, LLC CRD: 298233 | - | 0 | 1 | - | Unknown |
| Apse Capital Limited CRD: 309283 | - | 0 | 0 | - | Unknown |
| Apse Capital LLP CRD: 338804 | - | 0 | 0 | - | Unknown |
| Apsec Capital Partners, LLC CRD: 149687 | CA | 0 | 2 | A | Active |
| APT Wealth USA PTY Ltd CRD: 342273 | - | 0 | 0 | - | Unknown |
| Apter, Fredric Charles CRD: 32834 | - | 0 | 0 | A | INACTIVE |
| Aptera Capital LLC CRD: 338888 | - | 0 | 1 | - | Unknown |
| Aption Advisors LLC CRD: 333568 | - | 0 | 1 | - | Unknown |
| Aptior Capital LLP CRD: 290621 | - | 0 | 0 | - | Unknown |
| Apto Partners, LLC CRD: 155843 | NJ | 0 | 2 | A | Active |
| Aptos Capital LLC CRD: 281218 | - | 0 | 2 | - | Unknown |
| Aptus Capital Advisors, LLC CRD: 167626 | - | 0 | 10 | - | Unknown |
| Aptus Financial, LLC CRD: 280033 | - | 0 | 12 | - | Unknown |
| Aptus Wealth Management, LLC CRD: 284416 | - | 0 | 1 | - | Unknown |
| APW Capital, Inc. CRD: 43814 | NJ | 3 | 53 | B | Active |
| APX Investments LLC CRD: 328019 | - | 0 | 1 | - | Unknown |
| AQ Technology Partners LLC CRD: 304996 | CA | 0 | 2 | A | Active |
| Aqis Management LLC CRD: 288174 | - | 0 | 1 | - | Unknown |
| AQM Capital LLC CRD: 175343 | - | 0 | 0 | - | Unknown |
| AQR Arbitrage, LLC CRD: 114626 | - | 0 | 1 | - | Unknown |
| AQR Investments, LLC CRD: 289244 | CT | 0 | 6 | A | Active |
| AQS Asset Management, L.L.C. CRD: 131544 | - | 0 | 3 | - | Unknown |
| AQS Management, LLC CRD: 317432 | - | 0 | 2 | - | Unknown |
| Aqua Advisors LLC CRD: 285399 | - | 0 | 1 | - | Unknown |
| Aqua Capital Advisors CRD: 151887 | - | 0 | 1 | - | Unknown |
| Aqua Ceres LLC CRD: 311904 | - | 0 | 0 | - | Unknown |