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
Morgan Stanley AIP GP LP
CRD: 117050
 - 0 1 - Unknown
Morgan Stanley Dean Witter Online Inc.
CRD: 34925
 - 13 0 D INACTIVE
Morgan Stanley Distribution, Inc.
CRD: 30344
 NY 0 10 A Active
Morgan Stanley Distributors Inc.
CRD: 30992
 - 1 0 B INACTIVE
Morgan Stanley DW Inc.
CRD: 7556
 - 758 0 F INACTIVE
Morgan Stanley Infrastructure Inc.
CRD: 142824
 - 0 1 - Unknown
Morgan Stanley Investment Management (Japan) Co., …
CRD: 126071
 - 0 0 - Unknown
Morgan Stanley Investment Management Company
CRD: 126896
 - 0 0 - Unknown
Morgan Stanley Investment Management Inc.
CRD: 110353
 - 0 9 - Unknown
Morgan Stanley Investment Management Limited
CRD: 105922
 - 0 0 - Unknown
Morgan Stanley Market Products Inc.
CRD: 19794
 - 0 0 A INACTIVE
Morgan Stanley Private Equity Asia, Inc.
CRD: 134366
 - 0 1 - Unknown
Morgan Stanley Real Estate Advisor, Inc.
CRD: 127488
 - 0 1 - Unknown
Morgan Stanley Smith Barney Private Management II …
CRD: 163747
 - 0 0 - Unknown
Morgan Stanley Smith Barney Private Management LLC
CRD: 111397
 - 0 0 - Unknown
Morgan Stanley Smith Barney Venture Services LLC
CRD: 111386
 - 0 0 - Unknown
Morgan Stanley | Eaton Vance CLO Manager LLC
CRD: 309263
 - 0 1 - Unknown
Morgan Stevens Asset Management, LLC
CRD: 174928
 - 0 2 - Unknown
Morgan Wealth Management, Inc.
CRD: 147128
 - 0 0 - Unknown
Morgan, Callahan & Co., Inc.
CRD: 22400
 - 0 0 A INACTIVE
Morgan, Myers & Rebar, Inc.
CRD: 8137
 - 0 0 A INACTIVE
Morgan, Neil F.
CRD: 126409
 - 0 0 - Unknown
Morgan, Olmstead, Kennedy & Gardner Incorporated
CRD: 595
 - 0 0 A INACTIVE
Morgan, Taylor & Associates, Inc.
CRD: 37447
 - 15 0 D INACTIVE
Morgan-ALY Wealth Management, LLC
CRD: 328483
 - 0 1 - Unknown
Morgens, Waterfall, Vintiadis & Company, Inc.
CRD: 108692
 - 0 1 - Unknown
Morgenthaler Management Corporation
CRD: 161509
 - 0 0 - Unknown
Morgenthau & Associates, Inc.
CRD: 6586
 - 11 0 D INACTIVE
Mori Huston Partners
CRD: 151260
 - 0 1 - Unknown
Moriarty Daniel Edward
CRD: 137669
 - 0 0 A INACTIVE
Moriarty, Daniel Edward
CRD: 153051
 - 0 0 A INACTIVE
Morin Private Client Group, LLC
CRD: 154565
 - 0 2 - Unknown
Moringa Management LLC
CRD: 311835
 - 0 1 - Unknown
Morison Capital Management, LLC
CRD: 145714
 - 0 0 - Unknown
Morison Securities, Inc.
CRD: 8097
 - 0 0 A INACTIVE
Mork Capital Management
CRD: 136154
 - 0 0 - Unknown
Morley Capital Management, Inc.
CRD: 105339
 - 0 0 - Unknown
Morley Investment Company
CRD: 13405
 - 0 0 A INACTIVE
Morley Securities, Inc.
CRD: 32033
 - 2 0 B INACTIVE
Morning Calm Fund Manager Corp.
CRD: 290307
 - 0 1 - Unknown
Morningside Asset Management
CRD: 268789
 - 0 1 - Unknown
Morningside Venture Capital Limited
CRD: 163894
 - 0 0 - Unknown
Morningstar Capital L.P.
CRD: 282135
 - 0 0 - Unknown
Morningstar Investment Management LLC
CRD: 108031
 - 0 17 - Unknown
Morningstar Research Services LLC
CRD: 285164
 - 0 0 - Unknown
Morningview Capital
CRD: 282404
 - 0 1 - Unknown
Morningwood Capital LLC
CRD: 309220
 - 0 1 - Unknown
Morpheus Advisors
CRD: 285726
 - 0 1 - Unknown
Morpheus Securities LLC
CRD: 45561
 - 0 0 A INACTIVE
Morphicapital
CRD: 329801
 - 0 0 - Unknown
Page 977 of 1601 (80,028 total)
← Prev Next →