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 |
|---|---|---|---|---|---|
| Margo Park Financial CRD: 169375 | - | 0 | 3 | - | Unknown |
| Margolin, Robert Lewis CRD: 119924 | - | 0 | 0 | A | INACTIVE |
| Marguerite, Daniel Joseph CRD: 31929 | - | 0 | 0 | A | INACTIVE |
| Mari Legacy Group, LLC CRD: 325087 | - | 0 | 1 | - | Unknown |
| Maria M. Naye & Associates, Ltd CRD: 123512 | - | 0 | 0 | - | Unknown |
| Mariaca Wealth Management, LLC CRD: 164001 | - | 0 | 1 | - | Unknown |
| Marian Investor Coaching, Inc. CRD: 152951 | - | 0 | 2 | - | Unknown |
| Marianas Fund Management LLC CRD: 171710 | - | 0 | 0 | - | Unknown |
| Mariano, Pablo Corpuz CRD: 47021 | - | 0 | 0 | A | INACTIVE |
| Maridea Wealth Management CRD: 325523 | - | 0 | 25 | - | Unknown |
| Marie Gassee Fund I GP, LLC CRD: 317232 | - | 0 | 1 | - | Unknown |
| Mariemont Capital LLC CRD: 282000 | - | 0 | 1 | - | Unknown |
| Marienplatz Wealth Management LLC CRD: 289049 | - | 0 | 1 | - | Unknown |
| Marietta Wealth Management, LLC CRD: 281782 | - | 0 | 3 | - | Unknown |
| Marigold Park Capital Advisers Private Limited CRD: 321613 | - | 0 | 0 | - | Unknown |
| Marilla Investment Management Ltd. CRD: 329921 | - | 0 | 0 | - | Unknown |
| Marilyn Cook, Inc. CRD: 13805 | - | 0 | 0 | A | INACTIVE |
| Marim Wealth Planning CRD: 325684 | - | 0 | 1 | - | Unknown |
| Marin BAY Wealth Advisors, LLC CRD: 289184 | - | 0 | 3 | - | Unknown |
| Marin Financial Group CRD: 288327 | - | 0 | 1 | - | Unknown |
| Marin Financial LLC CRD: 325239 | - | 0 | 1 | - | Unknown |
| Marin Sonoma Impact Ventures Management, LLC CRD: 324038 | - | 0 | 1 | - | Unknown |
| Marin Wealth Advisors LLC CRD: 123237 | - | 0 | 2 | - | Unknown |
| Marina Wealth Advisors CRD: 311567 | - | 0 | 1 | - | Unknown |
| Marine Capital Management CRD: 307261 | - | 0 | 0 | - | Unknown |
| Marine Layer Capital LLC CRD: 306178 | - | 0 | 1 | - | Unknown |
| Marine Layer Wealth CRD: 332643 | - | 0 | 0 | - | Unknown |
| Marine Midland Capital Markets Corp. CRD: 22336 | - | 0 | 0 | A | INACTIVE |
| Mariner CRD: 151664 | - | 0 | 8 | - | Unknown |
| Mariner Advisor Network CRD: 283824 | - | 0 | 176 | - | Unknown |
| Mariner Capital Investment Corporation CRD: 11868 | - | 0 | 0 | A | INACTIVE |
| Mariner Capital Management LLC CRD: 173938 | - | 0 | 1 | - | Unknown |
| Mariner Financial Group, LLC CRD: 287649 | - | 0 | 0 | - | Unknown |
| Mariner Group Capital Markets, LLC CRD: 25878 | - | 0 | 0 | A | INACTIVE |
| Mariner Independent CRD: 305418 | - | 0 | 124 | - | Unknown |
| Mariner Institutional, LLC CRD: 111964 | - | 0 | 17 | - | Unknown |
| Mariner Investment Group CRD: 35993 | - | 4 | 0 | C | INACTIVE |
| Mariner Investment Group, LLC CRD: 124744 | - | 0 | 1 | - | Unknown |
| Mariner Retirement Advisors, LLC CRD: 172372 | - | 0 | 0 | - | Unknown |
| Mariner Wealth CRD: 140195 | - | 0 | 964 | - | Unknown |
| Mariner Wealth CRD: 289886 | - | 0 | 40 | - | Unknown |
| Mariner Wealth Advisors CRD: 165972 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 289827 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 171018 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 107355 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 109904 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 169459 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 165759 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 170703 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 174099 | - | 0 | 0 | - | Unknown |