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 |
|---|---|---|---|---|---|
| Mosaic Capital, LLC CRD: 171587 | - | 2 | 0 | B | INACTIVE |
| Mosaic ETA LLC CRD: 331499 | - | 0 | 1 | - | Unknown |
| Mosaic Family Wealth, LLC CRD: 170923 | - | 0 | 0 | - | Unknown |
| Mosaic FI LLC CRD: 169670 | - | 0 | 2 | - | Unknown |
| Mosaic General Partnership, LLC CRD: 317910 | - | 0 | 1 | - | Unknown |
| Mosaic Investment Partners, Inc. CRD: 168803 | - | 0 | 0 | - | Unknown |
| Mosaic LLC CRD: 287998 | - | 0 | 0 | - | Unknown |
| Mosaic Planners and Advisors CRD: 312426 | - | 0 | 0 | - | Unknown |
| Mosaic Research, Inc. CRD: 130169 | - | 0 | 0 | - | Unknown |
| Mosaic TAX Strategies LLC CRD: 146614 | - | 0 | 0 | - | Unknown |
| Mosaic Wealth CRD: 317377 | - | 0 | 4 | - | Unknown |
| Mosaic Wealth Consultants, Inc. CRD: 323422 | - | 0 | 1 | - | Unknown |
| Mosaic Wealth Management LLC CRD: 340681 | - | 0 | 1 | - | Unknown |
| Mosaic Wealth Management, L.L.C. CRD: 142793 | - | 0 | 1 | - | Unknown |
| Mosaic Wealth Strategies LLC CRD: 291032 | - | 0 | 1 | - | Unknown |
| Mosaico Management, LLC CRD: 269898 | - | 0 | 0 | - | Unknown |
| Mosaik Partners CRD: 171863 | - | 0 | 1 | - | Unknown |
| Mosby Lincoln LC CRD: 107135 | - | 0 | 0 | - | Unknown |
| Moscaret Investment Advisory CRD: 132702 | - | 0 | 0 | - | Unknown |
| Moseley International Inc. CRD: 18611 | - | 0 | 0 | A | INACTIVE |
| Moseley Investment Management, Inc. CRD: 124152 | - | 0 | 4 | - | Unknown |
| Moseley Securities Corporation CRD: 7908 | - | 0 | 0 | A | INACTIVE |
| Moseman & Associates CRD: 112508 | - | 0 | 0 | - | Unknown |
| Moser & Heier Financial Solutions CRD: 123726 | - | 0 | 0 | - | Unknown |
| Moser Capital Management CRD: 168177 | - | 0 | 0 | - | Unknown |
| Moser Wealth Advisors CRD: 117399 | - | 0 | 0 | - | Unknown |
| Moses Capital Partners, LLC CRD: 334557 | - | 0 | 0 | - | Unknown |
| MOSES.COM Securities, Inc. CRD: 21442 | - | 1 | 0 | B | INACTIVE |
| Mosher & Ellis Financial Planning, Inc. CRD: 136999 | - | 0 | 0 | - | Unknown |
| Mosif Capital LLC CRD: 318587 | - | 0 | 0 | - | Unknown |
| Mosley Wealth Management, Inc. CRD: 318592 | - | 0 | 1 | - | Unknown |
| Moso Capital Management Company, LLC CRD: 288573 | - | 0 | 0 | - | Unknown |
| Moss & Company, P.A. CRD: 142028 | - | 0 | 1 | - | Unknown |
| Moss BAY Capital CRD: 299002 | - | 0 | 1 | - | Unknown |
| Moss Financial Services CRD: 16174 | - | 0 | 0 | A | INACTIVE |
| Moss, Luse & Womble, LLC CRD: 152841 | - | 0 | 1 | - | Unknown |
| Moss-Lawson Securities,Inc. CRD: 14542 | - | 0 | 0 | A | INACTIVE |
| Mosses, Jennifer Rebecca CRD: 104167 | - | 0 | 0 | A | INACTIVE |
| Most Capital CRD: 304451 | - | 0 | 2 | - | Unknown |
| Mostel & Taylor Securities Inc. CRD: 10359 | - | 0 | 0 | A | INACTIVE |
| Mostt Inc. CRD: 332063 | - | 0 | 1 | - | Unknown |
| Mote Wealth Management, LLC CRD: 107724 | - | 0 | 0 | - | Unknown |
| Moth Fund, LLC CRD: 325070 | - | 0 | 1 | - | Unknown |
| Mother Ventures Management, LLC CRD: 330307 | - | 0 | 1 | - | Unknown |
| Motif CRD: 155731 | - | 1 | 0 | B | INACTIVE |
| Motif Capital Management, Inc. CRD: 277051 | - | 0 | 0 | - | Unknown |
| Motif Planning CRD: 327428 | - | 0 | 1 | - | Unknown |
| Motilal Oswal Capital Limited CRD: 286146 | - | 0 | 0 | - | Unknown |
| Motilal Oswal Securities International Private Lim… CRD: 164319 | - | 1 | 0 | B | Active |
| Motion Capital Management, LLC CRD: 164066 | - | 0 | 0 | - | Unknown |