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 |
|---|---|---|---|---|---|
| Aqua Financial Planning, LLC CRD: 132686 | - | 0 | 0 | - | Unknown |
| Aqua Lake Capital Limited CRD: 343276 | - | 0 | 0 | - | Unknown |
| Aqua Securities L.P. CRD: 47681 | - | 1 | 0 | B | INACTIVE |
| Aqua-Spark Management CRD: 170168 | - | 0 | 0 | - | Unknown |
| Aquacopia Management LLC CRD: 288102 | - | 0 | 0 | - | Unknown |
| Aquae Capital LLC CRD: 321978 | - | 0 | 0 | - | Unknown |
| Aqualis Partners LLC CRD: 342218 | - | 0 | 1 | - | Unknown |
| Aquamarine Zurich AG CRD: 323809 | - | 0 | 0 | - | Unknown |
| Aquarian Holdings Investment Management LLC CRD: 292769 | - | 0 | 1 | - | Unknown |
| Aquarian Holdings Management LLC CRD: 293116 | - | 0 | 1 | - | Unknown |
| Aquarius Financial CRD: 157425 | - | 0 | 2 | - | Unknown |
| Aquarius Investment Group LLC CRD: 338346 | - | 0 | 1 | - | Unknown |
| Aquarius Opportunity Funds GP, LLC CRD: 315216 | - | 0 | 0 | - | Unknown |
| Aquas Financial, LLC CRD: 311274 | TX | 0 | 2 | A | Active |
| Aquasphere AM, LLC CRD: 321776 | - | 0 | 1 | - | Unknown |
| Aquavis Advisors LLC CRD: 328827 | - | 0 | 0 | - | Unknown |
| Aqueduct Asset Management, LLC CRD: 327048 | - | 0 | 0 | - | Unknown |
| Aqueduct Capital, LLC CRD: 283054 | - | 0 | 0 | - | Unknown |
| Aquidneck Advisors LLC CRD: 338027 | - | 0 | 1 | - | Unknown |
| Aquifer Asset Management, LLC CRD: 313002 | - | 0 | 1 | - | Unknown |
| Aquifer Capital, LLC CRD: 165364 | - | 0 | 1 | - | Unknown |
| Aquila Distributors LLC CRD: 1706 | - | 0 | 0 | A | INACTIVE |
| Aquila Financial, Inc. CRD: 29083 | - | 0 | 0 | A | INACTIVE |
| Aquila Securities, LLC CRD: 128039 | - | 0 | 0 | A | INACTIVE |
| Aquila Ventures LLC CRD: 299657 | - | 0 | 1 | - | Unknown |
| Aquila Wealth Advisors CRD: 290083 | - | 0 | 1 | - | Unknown |
| Aquilant Advisors CRD: 282953 | - | 0 | 1 | - | Unknown |
| Aquiline Holdings LLC CRD: 154410 | - | 0 | 0 | - | Unknown |
| Aquiline Management Holdings LP CRD: 327352 | - | 0 | 1 | - | Unknown |
| Aquilo Partners, L.P. CRD: 114909 | CA | 0 | 4 | A | Active |
| Aquilon Capital Management CRD: 171167 | - | 0 | 0 | - | Unknown |
| Aquinas Advisors, LLC CRD: 114460 | - | 0 | 2 | - | Unknown |
| Aquinas Capital Advisors LLC CRD: 283511 | - | 0 | 1 | - | Unknown |
| AR Asset Management, Inc. CRD: 110342 | - | 0 | 2 | - | Unknown |
| AR Capital CRD: 329598 | - | 0 | 0 | - | Unknown |
| AR Resources, Inc. CRD: 288636 | - | 0 | 1 | - | Unknown |
| AR4, LLC CRD: 326455 | - | 0 | 0 | - | Unknown |
| ARA Europe Private Markets Limited CRD: 323810 | - | 0 | 0 | - | Unknown |
| ARA GC Partners, LLC CRD: 334354 | - | 0 | 3 | - | Unknown |
| ARA Partners CRD: 298845 | - | 0 | 3 | - | Unknown |
| Arabesque Asset Management Ltd CRD: 282729 | - | 0 | 0 | - | Unknown |
| Aradir Corporation CRD: 31909 | - | 1 | 0 | B | INACTIVE |
| Aragon Advisors CRD: 317462 | - | 0 | 1 | - | Unknown |
| Aragon Capital LLC CRD: 166958 | - | 0 | 1 | - | Unknown |
| Aragon Family Office LLC CRD: 337597 | - | 0 | 1 | - | Unknown |
| Aragon Financial Services, Inc. CRD: 16023 | - | 25 | 0 | F | INACTIVE |
| Aragon Global Management, LP CRD: 156043 | - | 0 | 1 | - | Unknown |
| Aragon Investments, Ltd. CRD: 37134 | - | 0 | 0 | A | INACTIVE |
| Aragon Value Partners, LLC CRD: 286307 | - | 0 | 0 | - | Unknown |
| Aragorn Ltd. CRD: 129380 | - | 0 | 1 | - | Unknown |