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 |
|---|---|---|---|---|---|
| Montrusco Bolton Investments Inc. CRD: 154475 | - | 0 | 1 | - | Unknown |
| Montserrat Global Advisers, LP CRD: 179530 | - | 0 | 0 | - | Unknown |
| Montvue Capital Management, Inc. CRD: 116807 | - | 0 | 1 | - | Unknown |
| Monty Asset Management CRD: 318650 | - | 0 | 1 | - | Unknown |
| Monty Small & Associates, Inc. CRD: 14400 | - | 0 | 0 | A | INACTIVE |
| Montz Harcus Wealth Management CRD: 301963 | - | 0 | 2 | - | Unknown |
| Monument Advisers CRD: 331623 | - | 0 | 2 | - | Unknown |
| Monument Advisors, Inc. CRD: 47389 | - | 0 | 0 | A | INACTIVE |
| Monument Asset Management, LLC CRD: 305827 | - | 0 | 1 | - | Unknown |
| Monument Capital Management, Inc CRD: 108902 | - | 0 | 0 | - | Unknown |
| Monument Distributors, Inc. CRD: 43917 | - | 0 | 0 | A | INACTIVE |
| Monument Group, Inc. CRD: 36399 | MA | 0 | 2 | A | Active |
| Monument Investments Inc. CRD: 110494 | - | 0 | 1 | - | Unknown |
| Monument Retirement & Wealth Advisory, LLC CRD: 135311 | - | 0 | 1 | - | Unknown |
| Monument Wealth Management CRD: 159882 | - | 0 | 5 | - | Unknown |
| Monumental Wealth, LLC CRD: 330143 | - | 0 | 1 | - | Unknown |
| Monuwealth Advisors CRD: 333808 | - | 0 | 2 | - | Unknown |
| Monvest Securities, Inc. CRD: 14013 | - | 0 | 0 | A | INACTIVE |
| Monvia Financial L.P. CRD: 165932 | - | 0 | 3 | - | Unknown |
| Mony Capital Markets, Inc. CRD: 22091 | - | 0 | 0 | A | INACTIVE |
| MOO Point Capital Management LLC CRD: 327092 | - | 0 | 1 | - | Unknown |
| Mooberry Financial Management, LLC CRD: 114512 | - | 0 | 2 | - | Unknown |
| Moody Aldrich Partners, LLC CRD: 106920 | - | 0 | 3 | - | Unknown |
| Moody Financial Group, Inc. CRD: 37646 | - | 0 | 0 | A | INACTIVE |
| Moody Reid Financial Advisors L.P. CRD: 119205 | - | 0 | 0 | - | Unknown |
| Moody Securities, LLC CRD: 148771 | TX | 1 | 2 | B | Active |
| Moody, LYNN & Lieberson, LLC CRD: 106000 | - | 0 | 0 | - | Unknown |
| Moody, LYNN, Lieberson & Walker, LLC CRD: 283549 | - | 0 | 2 | - | Unknown |
| Moola Advisors CRD: 299783 | - | 0 | 0 | - | Unknown |
| Moola Copilot LLC CRD: 334132 | - | 0 | 1 | - | Unknown |
| Moolya Wealth Management LLC CRD: 313179 | - | 0 | 0 | - | Unknown |
| Moomoo Financial Inc. CRD: 283078 | NJ | 5 | 3 | B | Active |
| Moon Capital Management LP CRD: 156460 | - | 0 | 1 | - | Unknown |
| Moon Capital Management, LLC CRD: 107612 | - | 0 | 1 | - | Unknown |
| Moon Lasso Asset Management, LLC CRD: 316278 | - | 0 | 2 | - | Unknown |
| Moon Wake Wealth Management LLC CRD: 309990 | - | 0 | 0 | - | Unknown |
| Moonbridge Financial Design, LLC CRD: 329605 | - | 0 | 1 | - | Unknown |
| Moondance Investment Advisors, LLC CRD: 166171 | - | 0 | 3 | - | Unknown |
| Mooney Financial CRD: 332904 | - | 0 | 1 | - | Unknown |
| Mooney Wealth Advisory, Inc. CRD: 107121 | - | 0 | 0 | - | Unknown |
| Mooney's Securities, Inc. CRD: 16928 | - | 0 | 0 | A | INACTIVE |
| Moonfare CRD: 319285 | - | 0 | 0 | - | Unknown |
| Moonfare Securities USA CRD: 325838 | NY | 0 | 2 | A | Active |
| Moonfire Fund Management Limited CRD: 323402 | - | 0 | 0 | - | Unknown |
| Moonlight Trading CRD: 174572 | - | 0 | 0 | - | Unknown |
| Moonrise Capital LP CRD: 286269 | - | 0 | 1 | - | Unknown |
| Moonsail Capital LLC CRD: 291230 | - | 0 | 1 | - | Unknown |
| Moonshot Planning LLC CRD: 329154 | - | 0 | 1 | - | Unknown |
| Moonshots Capital Management Company, LLC CRD: 291804 | - | 0 | 1 | - | Unknown |
| Moonstone Asset Management, Inc. CRD: 146096 | - | 0 | 1 | - | Unknown |