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 |
|---|---|---|---|---|---|
| Arena Search Partners CRD: 342497 | - | 0 | 1 | - | Unknown |
| Arena Wealth Advisors LLC CRD: 331123 | - | 0 | 1 | - | Unknown |
| Arena Wealth Management LLC CRD: 326631 | - | 0 | 1 | - | Unknown |
| Arenite Advisory CRD: 288242 | - | 0 | 0 | - | Unknown |
| Arenite Advisory, Inc. CRD: 306102 | - | 0 | 0 | - | Unknown |
| Ares Capital Management III LLC CRD: 168076 | - | 0 | 0 | - | Unknown |
| Ares CLO Management LLC CRD: 257788 | - | 0 | 0 | - | Unknown |
| Ares Commercial Real Estate Management LLC CRD: 159050 | - | 0 | 1 | - | Unknown |
| Ares EIF Management, LLC CRD: 156751 | - | 0 | 0 | - | Unknown |
| Ares Investment Fund L.L.C. CRD: 130664 | - | 0 | 0 | A | INACTIVE |
| Ares Management Capital Markets LLC CRD: 166219 | CO | 0 | 14 | A | Active |
| Ares Management LLC CRD: 130074 | - | 0 | 1 | - | Unknown |
| Ares Real Estate Management Holdings, LLC CRD: 158341 | - | 0 | 0 | - | Unknown |
| Ares Trading Partners LLC CRD: 126081 | - | 0 | 0 | A | INACTIVE |
| Ares Wealth Management Solutions, LLC CRD: 119546 | - | 0 | 0 | A | INACTIVE |
| Ares-Bound Capital CRD: 310218 | - | 0 | 1 | - | Unknown |
| Arete Advisors CRD: 299636 | - | 0 | 1 | - | Unknown |
| Arete Asset Management, LLC CRD: 146562 | - | 0 | 2 | - | Unknown |
| Arete Capital Advisors Inc. CRD: 162300 | - | 0 | 0 | - | Unknown |
| Arete Capital Management CRD: 124559 | - | 0 | 2 | - | Unknown |
| Arete Capital, Inc. CRD: 106025 | - | 0 | 0 | - | Unknown |
| Arete Energy Holdings, LLC CRD: 329198 | - | 0 | 0 | - | Unknown |
| Arete Financial Planning, LLC CRD: 109717 | - | 0 | 0 | - | Unknown |
| Arete Financial Solutions, LLC CRD: 314310 | - | 0 | 2 | - | Unknown |
| Arete Research LLC CRD: 128496 | TX | 0 | 3 | A | Active |
| Arete Wealth Advisors, LLC CRD: 145488 | - | 0 | 137 | - | Unknown |
| Arete Wealth Management, LLC CRD: 44856 | IL | 6 | 62 | B | Active |
| Arete Wealth Strategists CRD: 167297 | - | 0 | 1 | - | Unknown |
| Aretex Capital Management, LP CRD: 296753 | - | 0 | 1 | - | Unknown |
| AretÉ CRD: 287723 | - | 0 | 0 | - | Unknown |
| ARG Private Wealth, LLC CRD: 336183 | - | 0 | 1 | - | Unknown |
| Argan Capital CRD: 163139 | - | 0 | 0 | - | Unknown |
| Argand Capital Advisors LLC CRD: 151885 | - | 0 | 0 | - | Unknown |
| Argand Partners, LP CRD: 282127 | - | 0 | 1 | - | Unknown |
| Argent Advisors, Inc. CRD: 112028 | - | 0 | 8 | - | Unknown |
| Argent Capital Advisers, LLC CRD: 290630 | - | 0 | 0 | - | Unknown |
| Argent Classic Convertible Arbitrage Fund L.P. CRD: 40122 | - | 0 | 0 | A | INACTIVE |
| Argent Family Wealth Services CRD: 147466 | - | 0 | 0 | - | Unknown |
| Argent Investment Services, Inc. CRD: 25624 | - | 4 | 0 | C | INACTIVE |
| Argent Retirement Plan Advisors, LLC CRD: 165031 | - | 0 | 6 | - | Unknown |
| Argent Securities Co. LLC CRD: 135191 | - | 0 | 0 | A | INACTIVE |
| Argent Securities, Inc. CRD: 15297 | - | 0 | 0 | A | INACTIVE |
| Argent Securities, Inc. CRD: 24068 | - | 0 | 0 | A | INACTIVE |
| Argent Wealth Advisors, LLC CRD: 172856 | - | 0 | 2 | - | Unknown |
| Argent Wealth Management, Inc. CRD: 135376 | - | 0 | 3 | - | Unknown |
| Argent Wealth Management, LLC CRD: 170099 | - | 0 | 0 | - | Unknown |
| Argent Wealth, LLC CRD: 311685 | - | 0 | 1 | - | Unknown |
| Argenta Wealth Management CRD: 110884 | - | 0 | 3 | - | Unknown |
| Argentaria International Securities Inc. CRD: 39778 | - | 0 | 0 | A | INACTIVE |
| Argentarii, LLC CRD: 332112 | - | 0 | 1 | - | Unknown |