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 |
|---|---|---|---|---|---|
| Maxim Capital Group, LLC CRD: 288321 | - | 0 | 1 | - | Unknown |
| Maxim Drilling Programs Sales Corp. CRD: 10471 | - | 0 | 0 | A | INACTIVE |
| Maxim Group LLC CRD: 120708 | NY | 37 | 7 | F | Active |
| Maxim Partners LLC CRD: 284529 | - | 0 | 0 | - | Unknown |
| Maxim Securities, Inc. CRD: 13583 | - | 0 | 0 | A | INACTIVE |
| Maxima Group, LLC CRD: 44443 | - | 0 | 0 | A | INACTIVE |
| Maximai Investment Partners, LLC CRD: 284919 | - | 0 | 1 | - | Unknown |
| Maximum Advisory CRD: 284983 | - | 0 | 1 | - | Unknown |
| Maximum Arbitrage, L.P. CRD: 121209 | - | 0 | 0 | A | INACTIVE |
| Maximum Asset Strategies CRD: 122662 | - | 0 | 1 | - | Unknown |
| Maximum Equities, Inc. CRD: 125587 | - | 0 | 0 | - | Unknown |
| Maximum Financial Investment Group, Inc. CRD: 40096 | - | 6 | 0 | D | INACTIVE |
| Maximum Wealth Advisors, LLC CRD: 135982 | - | 0 | 0 | - | Unknown |
| Maximum Yield Investment Service, Inc. CRD: 13404 | - | 0 | 0 | A | INACTIVE |
| Maximus Long Short Equity Management, LP CRD: 305427 | - | 0 | 0 | - | Unknown |
| Maximus Wealth Advisors CRD: 299455 | - | 0 | 2 | - | Unknown |
| Maxine Weiner, CFP(R) CRD: 125834 | - | 0 | 1 | - | Unknown |
| Maxon Financial CRD: 165480 | - | 0 | 0 | - | Unknown |
| Maxq Asset Management LLC CRD: 336560 | - | 0 | 1 | - | Unknown |
| Maxus Wealth Management LLC CRD: 333825 | - | 0 | 2 | - | Unknown |
| Maxwell and Morse Capital Management, Inc. CRD: 118334 | - | 0 | 2 | - | Unknown |
| Maxwell Capital, Inc. CRD: 40146 | - | 0 | 0 | A | INACTIVE |
| Maxwell Family Office, LLC CRD: 326584 | - | 0 | 1 | - | Unknown |
| Maxwell Financial Group CRD: 18505 | - | 0 | 0 | A | INACTIVE |
| Maxwell Financial Group, Inc CRD: 167863 | - | 0 | 2 | - | Unknown |
| Maxwell Investment Advisory and Wealth Management … CRD: 311133 | - | 0 | 0 | - | Unknown |
| Maxwell Noll Investment Advisors CRD: 6918 | - | 1 | 0 | B | INACTIVE |
| Maxwell Securities,Inc. CRD: 14587 | - | 0 | 0 | A | INACTIVE |
| Maxwell Simon, Inc. CRD: 12667 | - | 3 | 0 | C | INACTIVE |
| Maxwell Wealth CRD: 317081 | - | 0 | 0 | - | Unknown |
| Maxwell Wealth Planning, Inc. CRD: 171485 | - | 0 | 0 | - | Unknown |
| Maxxel Securities, Inc. CRD: 26535 | - | 0 | 0 | A | INACTIVE |
| Maxxtrade, Inc. CRD: 106471 | - | 5 | 0 | C | INACTIVE |
| MAY & Barnhard, PC CRD: 121884 | - | 0 | 0 | - | Unknown |
| MAY & Gannon, Inc. CRD: 2688 | - | 0 | 0 | A | INACTIVE |
| MAY & O'connor Capital Inc CRD: 13326 | - | 0 | 0 | A | INACTIVE |
| MAY Capital Group, L.L.C. CRD: 37081 | NY | 0 | 2 | A | Active |
| MAY Capital Management CRD: 135127 | - | 0 | 1 | - | Unknown |
| MAY Financial Corporation CRD: 3927 | - | 6 | 0 | D | INACTIVE |
| MAY Financial Group, LLC CRD: 155206 | - | 0 | 0 | - | Unknown |
| MAY Harbor Investment Advisors LLC CRD: 159401 | - | 0 | 0 | - | Unknown |
| MAY Hill Capital, LLC CRD: 332076 | - | 0 | 4 | - | Unknown |
| MAY River Capital CRD: 166007 | - | 0 | 1 | - | Unknown |
| MAY Syndication Group, Inc. CRD: 15922 | - | 0 | 0 | A | INACTIVE |
| MAY Tree Financial Planning LLC CRD: 290213 | - | 0 | 1 | - | Unknown |
| MAY, Davis Group Inc. CRD: 35622 | - | 18 | 0 | F | INACTIVE |
| Maya Advisors, Inc. CRD: 144325 | - | 0 | 2 | - | Unknown |
| Maya Advisors, L.L.C. CRD: 318401 | - | 0 | 0 | - | Unknown |
| Maya Capital Management, LLC CRD: 304098 | - | 0 | 0 | - | Unknown |
| Maybank Securities USA Inc. CRD: 27861 | - | 0 | 0 | A | INACTIVE |