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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Microcapital LLC
CRD: 136165
 - 0 0 - Unknown
Microplace, Inc.
CRD: 143403
 - 0 0 A INACTIVE
Microsigma Capital Management, LLC
CRD: 139226
 - 0 0 - Unknown
Microtrade Networks, Inc.
CRD: 43558
 - 2 0 B INACTIVE
Microventure Marketplace Inc.
CRD: 152513
 TX 1 2 B Active
Microventures Investment Management LLC
CRD: 298136
 - 0 0 - Unknown
Microvest Capital Management
CRD: 153395
 - 0 1 - Unknown
Microvest GMG Capital Management, LLC
CRD: 166388
 - 0 0 - Unknown
Microvest Securities Corp.
CRD: 41547
 - 0 0 A INACTIVE
MID America Capital Corp. Inc.
CRD: 36146
 - 0 0 A INACTIVE
MID America Securities, Inc.
CRD: 10958
 - 0 0 A INACTIVE
MID Atlantic Clearing & Settlement Corporation
CRD: 37466
 PA 1 1 B Active
MID Atlantic Financial Management, Inc.
CRD: 109771
 - 0 0 - Unknown
MID Atlantic Investor Services, Inc.
CRD: 31002
 - 1 0 B INACTIVE
MID Atlantic Real Estate Group II, LLC
CRD: 164872
 - 0 0 - Unknown
MID Continent Financial, Inc.
CRD: 27145
 - 0 0 A INACTIVE
MID Florida Capital Management, Inc.
CRD: 42428
 - 0 0 A INACTIVE
MID Michigan Insurance and Financial Services LLC
CRD: 311449
 - 0 2 - Unknown
MID Valley Securities Inc.
CRD: 5042
 - 0 0 A INACTIVE
MID-American Wealth Advisory Group
CRD: 301621
 - 0 1 - Unknown
MID-Atlantic Benefit Consultants, Inc.
CRD: 122150
 - 0 0 - Unknown
MID-Atlantic Resources, Inc.
CRD: 21931
 - 0 0 A INACTIVE
MID-Continent Capital LLC
CRD: 107997
 - 0 0 - Unknown
MID-Continent Financial, Inc.
CRD: 40672
 - 0 0 A INACTIVE
MID-Continent Investments, Inc.
CRD: 7008
 - 0 0 A INACTIVE
MID-Market Securities, LLC
CRD: 126750
 - 2 0 B INACTIVE
MID-Ohio Securities Corp
CRD: 6634
 - 12 0 D INACTIVE
MID-South Investment Corporation of HOT Springs
CRD: 26449
 - 0 0 A INACTIVE
MID-South Securities, Inc.
CRD: 15036
 - 0 0 A INACTIVE
MID-State Securities Corp.
CRD: 10266
 - 0 0 A INACTIVE
Midas
CRD: 277066
 - 0 0 - Unknown
Midas Capital Management
CRD: 334335
 - 0 1 - Unknown
Midas Financial
CRD: 170712
 - 0 0 - Unknown
Midas Management Corporation
CRD: 108237
 - 0 1 - Unknown
Midas Securities Group, Inc.
CRD: 14009
 NH 0 2 A Active
Midas Securities, LLC
CRD: 103680
 - 6 0 D INACTIVE
Midatlantic Capital Management, Inc.
CRD: 116524
 - 0 2 - Unknown
Midbridge Advisors LP
CRD: 330056
 - 0 1 - Unknown
Midcap Financial Services Capital Management, LLC
CRD: 285820
 - 0 1 - Unknown
Midchester Capital LLC
CRD: 139228
 - 0 0 A INACTIVE
Midcontinent Capital Corporation
CRD: 14322
 - 0 0 A INACTIVE
Middle Market Transactions, Inc.
CRD: 133062
 MO 0 3 A Active
Middle Street Capital, LLC
CRD: 226513
 - 0 2 - Unknown
Middlebrook & Company, Inc.
CRD: 15691
 - 0 0 A INACTIVE
Middlegreen Associates
CRD: 106626
 - 0 0 - Unknown
Middleground Capital
CRD: 297235
 - 0 1 - Unknown
Middlemarch Capital LLC
CRD: 141431
 - 0 0 - Unknown
Middlemiss Partners L.P.
CRD: 38994
 - 0 0 A INACTIVE
Middleton & Company
CRD: 284996
 - 0 1 - Unknown
Middleton & Company Inc.
CRD: 104549
 - 0 4 - Unknown
Page 952 of 1601 (80,028 total)
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