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 |
|---|---|---|---|---|---|
| MMS Securities, Inc. CRD: 43120 | - | 2 | 0 | B | INACTIVE |
| Mmutrading, LLC CRD: 119207 | - | 0 | 0 | A | INACTIVE |
| MMV VC LLC CRD: 338590 | - | 0 | 1 | - | Unknown |
| MMX Global Partners, LLC CRD: 286531 | - | 0 | 0 | A | INACTIVE |
| MN Strategies Inc CRD: 305892 | - | 0 | 0 | - | Unknown |
| MN Wealth Advisors, LLC CRD: 322617 | - | 0 | 1 | - | Unknown |
| MNB Brokerage Alternative, Inc. CRD: 17447 | - | 0 | 0 | A | INACTIVE |
| MND Partners, Inc. CRD: 131833 | - | 0 | 0 | A | INACTIVE |
| MND Wealth Management CRD: 324313 | - | 0 | 0 | - | Unknown |
| MNM Vested, LLC CRD: 151350 | - | 0 | 1 | - | Unknown |
| MNR Executions, LLC CRD: 146313 | - | 13 | 0 | D | INACTIVE |
| Moab Capital Partners, LLC CRD: 154855 | - | 0 | 0 | - | Unknown |
| Moala Wallet Ltd CRD: 339051 | - | 0 | 1 | - | Unknown |
| Moat Capital CRD: 313152 | - | 0 | 2 | - | Unknown |
| Mobeus Equity Partners CRD: 289753 | - | 0 | 0 | - | Unknown |
| Mobile BAY Wealth Management, LLC CRD: 324371 | - | 0 | 1 | - | Unknown |
| Mobility Partners LLC CRD: 330961 | - | 0 | 1 | - | Unknown |
| Mobility Securities, LLC CRD: 285222 | - | 0 | 0 | A | INACTIVE |
| Mobius Capital Management CRD: 313271 | - | 0 | 0 | - | Unknown |
| Mobius Capital Management, LLC CRD: 285663 | - | 0 | 0 | - | Unknown |
| Mobius Fund CRD: 328238 | - | 0 | 2 | - | Unknown |
| Mobjack Investments CRD: 134481 | - | 0 | 2 | - | Unknown |
| Mocho Trading LLC CRD: 171135 | - | 0 | 0 | A | INACTIVE |
| Modal Capital LP CRD: 290610 | - | 0 | 0 | - | Unknown |
| Modegg, LLC CRD: 327826 | - | 0 | 0 | - | Unknown |
| Model Capital Management LLC CRD: 166921 | - | 0 | 1 | - | Unknown |
| Model SIX Operations Inc. CRD: 331872 | - | 0 | 0 | - | Unknown |
| Model Wealth CRD: 299798 | - | 0 | 1 | - | Unknown |
| Modelist CRD: 327365 | - | 0 | 1 | - | Unknown |
| Modell Capital Management LLC CRD: 339228 | - | 0 | 2 | - | Unknown |
| Modera Wealth Management, LLC CRD: 155649 | - | 0 | 109 | - | Unknown |
| Modern Advisors LLC CRD: 316191 | - | 0 | 0 | - | Unknown |
| Modern Advisory Planning CRD: 284761 | - | 0 | 0 | - | Unknown |
| Modern Asset Management LLC CRD: 128768 | - | 0 | 2 | - | Unknown |
| Modern Assets, LLC CRD: 285269 | - | 0 | 2 | - | Unknown |
| Modern Capital Concepts CRD: 170396 | - | 0 | 1 | - | Unknown |
| Modern Capital Group LLC CRD: 173212 | - | 0 | 0 | - | Unknown |
| Modern Capital Management, Co. CRD: 306631 | - | 0 | 5 | - | Unknown |
| Modern Capital Securities Inc. CRD: 130876 | NC | 1 | 6 | B | Active |
| Modern Capital Ventures Management, LLC CRD: 343542 | - | 0 | 1 | - | Unknown |
| Modern Dollar Planning, LLC CRD: 174695 | - | 0 | 1 | - | Unknown |
| Modern Energy Management LLC CRD: 289775 | - | 0 | 0 | - | Unknown |
| Modern Equity Services LLC CRD: 159040 | - | 0 | 0 | A | INACTIVE |
| Modern Family Financial Planning, LLC CRD: 283123 | - | 0 | 0 | - | Unknown |
| Modern Financial CRD: 317409 | - | 0 | 1 | - | Unknown |
| Modern Financial Planning CRD: 297193 | - | 0 | 1 | - | Unknown |
| Modern Financial Wellness CRD: 334087 | - | 0 | 1 | - | Unknown |
| Modern Investing LLC CRD: 320842 | - | 0 | 0 | - | Unknown |
| Modern Millennial Wealth LLC CRD: 311608 | - | 0 | 0 | - | Unknown |
| Modern Money Advisor CRD: 292041 | - | 0 | 0 | - | Unknown |