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 |
|---|---|---|---|---|---|
| Modern Money Management LLC CRD: 311307 | - | 0 | 1 | - | Unknown |
| Modern Private Equity Partners, LLC CRD: 326206 | TN | 0 | 2 | A | Active |
| Modern Technical Fund Management LLC CRD: 335410 | - | 0 | 1 | - | Unknown |
| Modern Traders CRD: 314643 | - | 0 | 0 | - | Unknown |
| Modern Wealth Concepts LLC CRD: 154742 | - | 0 | 1 | - | Unknown |
| Modern Wealth LLC CRD: 300407 | - | 0 | 2 | - | Unknown |
| Modern Wealth LLC CRD: 331245 | - | 0 | 2 | - | Unknown |
| Modern Wealth Management, LLC CRD: 324624 | - | 0 | 100 | - | Unknown |
| Moderne Capital, LP CRD: 290453 | - | 0 | 1 | - | Unknown |
| Modernfi CRD: 322611 | - | 0 | 0 | - | Unknown |
| Modernist Financial, LLC CRD: 217511 | - | 0 | 1 | - | Unknown |
| Modernist Partners LLC CRD: 296937 | - | 0 | 0 | - | Unknown |
| Modesto Capital CRD: 328343 | - | 0 | 1 | - | Unknown |
| Modi Venture Capital Management LLC CRD: 326025 | - | 0 | 1 | - | Unknown |
| Modica Financial Services CRD: 135583 | - | 0 | 2 | - | Unknown |
| Modified Investments CRD: 324512 | - | 0 | 1 | - | Unknown |
| Modio Capital CRD: 166572 | - | 0 | 0 | - | Unknown |
| Modiri Asset Management CRD: 125746 | - | 0 | 0 | - | Unknown |
| Modl Investments, LLC CRD: 284119 | - | 0 | 0 | - | Unknown |
| Modoo Strategy LLC CRD: 329227 | - | 0 | 1 | - | Unknown |
| Modular Asset Management (Singapore) PTE Ltd CRD: 306736 | - | 0 | 0 | - | Unknown |
| Modular Capital CRD: 321218 | - | 0 | 1 | - | Unknown |
| Modulo Capital CRD: 174095 | - | 0 | 0 | - | Unknown |
| Modulus Capital Management, LP CRD: 282941 | - | 0 | 0 | - | Unknown |
| Modum Asset Management LLC CRD: 316200 | - | 0 | 0 | - | Unknown |
| Modun Investment Management LLC CRD: 302047 | - | 0 | 0 | - | Unknown |
| Modus Advisors, LLC CRD: 291204 | - | 0 | 3 | - | Unknown |
| Modus Vivendi LLC CRD: 323111 | - | 0 | 0 | - | Unknown |
| MOE DOE LLC CRD: 340347 | - | 0 | 1 | - | Unknown |
| MOE Investment Management, LLC CRD: 116082 | - | 0 | 0 | - | Unknown |
| Moelis & Company LLC CRD: 145115 | NY | 1 | 13 | C | Active |
| Moelis Capital Partners LLC CRD: 154219 | - | 0 | 1 | - | Unknown |
| Moelis Steele Creek Opportunity Manager LP CRD: 288953 | - | 0 | 0 | - | Unknown |
| Moeller Financial Advisors CRD: 120706 | - | 0 | 0 | - | Unknown |
| Moerus Capital Management LLC CRD: 282399 | - | 0 | 1 | - | Unknown |
| MOF II Management LLC CRD: 322225 | - | 0 | 0 | - | Unknown |
| MOF III Management LLC CRD: 322227 | - | 0 | 0 | - | Unknown |
| Moffat Capital, LLC CRD: 125781 | - | 0 | 0 | A | INACTIVE |
| Moffat, John Donald CRD: 34410 | - | 5 | 0 | C | INACTIVE |
| Moffatt Financial Strategies CRD: 335975 | - | 0 | 1 | - | Unknown |
| Moffettnathanson CRD: 327787 | - | 0 | 1 | - | Unknown |
| MOG Capital L.L.C. CRD: 136805 | - | 3 | 0 | C | INACTIVE |
| Mogavero LEE & Co Inc. CRD: 32723 | - | 1 | 0 | B | INACTIVE |
| Mogle Financial Solutions CRD: 340632 | - | 0 | 1 | - | Unknown |
| Mogo Management LLC CRD: 173092 | - | 0 | 0 | - | Unknown |
| Mogul Securities, LLC CRD: 172778 | - | 0 | 0 | A | INACTIVE |
| Mogul Wealth Management, Inc. CRD: 144711 | - | 0 | 1 | - | Unknown |
| Mohar Financial Planning CRD: 281536 | - | 0 | 1 | - | Unknown |
| Mohawk Capital Corporation CRD: 6119 | - | 0 | 0 | A | INACTIVE |
| Mohegan Ventures Inc. CRD: 30328 | - | 1 | 0 | B | INACTIVE |