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 |
|---|---|---|---|---|---|
| Mariner Wealth Advisors CRD: 207512 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 226646 | - | 0 | 0 | - | Unknown |
| Mariner Wealth Advisors CRD: 329377 | - | 0 | 0 | - | Unknown |
| Marion Bass Securities Corporation CRD: 7961 | - | 19 | 0 | F | INACTIVE |
| Marion Equity Partners Management, LLC CRD: 162063 | - | 0 | 0 | - | Unknown |
| Marion Financial Advisors CRD: 152205 | - | 0 | 0 | - | Unknown |
| Marion Jacob, LLC CRD: 127230 | - | 0 | 0 | - | Unknown |
| Marion Master Fund, LLC CRD: 129730 | - | 0 | 0 | A | INACTIVE |
| Marion Wealth Management CRD: 315730 | - | 0 | 1 | - | Unknown |
| Maripau Wealth Management LLC CRD: 311934 | - | 0 | 21 | - | Unknown |
| Mariposa Capital Management, LLC CRD: 150870 | - | 0 | 1 | - | Unknown |
| Mariposa Grizzly Radio, Inc. CRD: 21003 | - | 0 | 0 | A | INACTIVE |
| Maris Wealth Management LLC CRD: 322487 | - | 0 | 1 | - | Unknown |
| Maritime Capital CRD: 161112 | - | 0 | 1 | - | Unknown |
| Maritime Development Partners CRD: 171361 | - | 0 | 0 | - | Unknown |
| Maritime Partners, LLC CRD: 300186 | - | 0 | 1 | - | Unknown |
| Marius Wealth Management, LLC CRD: 169502 | - | 0 | 0 | - | Unknown |
| Mariva Capital Markets, LLC CRD: 156171 | FL | 1 | 2 | B | Active |
| Mariva Global Asset Management, LLC CRD: 285674 | - | 0 | 2 | - | Unknown |
| Marjac Securities, Inc. CRD: 23284 | - | 0 | 0 | A | INACTIVE |
| Marjorie E. Posner Financial Planning LLC CRD: 129994 | - | 0 | 0 | - | Unknown |
| Mark a Shapiro CPA PA CRD: 144218 | - | 0 | 0 | - | Unknown |
| Mark a. Goldman CRD: 117534 | - | 0 | 0 | - | Unknown |
| Mark Allan Capital Management, LLC CRD: 123668 | - | 0 | 0 | - | Unknown |
| Mark Andrew Paganelli CRD: 126669 | - | 0 | 2 | - | Unknown |
| Mark Asset Management LP CRD: 105691 | - | 0 | 1 | - | Unknown |
| Mark Bell Advisory Services, Inc. CRD: 107114 | - | 0 | 1 | - | Unknown |
| Mark Boyar & Company, Inc. CRD: 11548 | - | 1 | 0 | B | INACTIVE |
| Mark Bussey & Associates, LC CRD: 126899 | - | 0 | 2 | - | Unknown |
| Mark C. Huffman, CPA/RIA CRD: 135753 | - | 0 | 1 | - | Unknown |
| Mark Capital Management Inc CRD: 110075 | - | 0 | 0 | - | Unknown |
| Mark Capital Management LP CRD: 326227 | - | 0 | 0 | - | Unknown |
| Mark Cernese & Associates CRD: 174062 | - | 0 | 1 | - | Unknown |
| Mark D. Saferstein Securities CRD: 16898 | - | 0 | 0 | A | INACTIVE |
| Mark E. Reich, CPA, CFP CRD: 129854 | - | 0 | 1 | - | Unknown |
| Mark Gillam Enterprises CRD: 108632 | - | 0 | 2 | - | Unknown |
| Mark Harris Services CRD: 117136 | - | 0 | 2 | - | Unknown |
| Mark I Asset Management, Ltd CRD: 104563 | - | 0 | 0 | - | Unknown |
| Mark I Capital Management LP CRD: 288281 | - | 0 | 0 | - | Unknown |
| Mark Investment Advisors CRD: 340413 | - | 0 | 2 | - | Unknown |
| Mark J. Angelo Financial Services CRD: 129008 | - | 0 | 1 | - | Unknown |
| Mark J. Fitzgerald Securities, Inc. CRD: 13775 | - | 0 | 0 | A | INACTIVE |
| Mark J. Ruthenberg Pension Planning & Administrati… CRD: 163969 | - | 0 | 0 | - | Unknown |
| Mark Janer Financial Planning CRD: 274027 | - | 0 | 0 | - | Unknown |
| Mark L. Westerman, CPA CRD: 141887 | - | 0 | 2 | - | Unknown |
| Mark M. Mayers & Co.,Inc. CRD: 14313 | - | 0 | 0 | A | INACTIVE |
| Mark Monreal & Associates CRD: 134346 | - | 0 | 1 | - | Unknown |
| Mark Muecke Capital Management, LLC CRD: 289109 | - | 0 | 2 | - | Unknown |
| Mark P. Shively CRD: 113557 | - | 0 | 2 | - | Unknown |
| Mark Pressman Associates and/or MPA CRD: 22089 | - | 1 | 0 | B | INACTIVE |