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 |
|---|---|---|---|---|---|
| Nagelvoort & Company Inc CRD: 16708 | - | 0 | 0 | A | INACTIVE |
| Nagle Investment Advisors, Ltd. CRD: 123962 | - | 0 | 2 | - | Unknown |
| Nahkoda Capital Management USA, LLC CRD: 325591 | - | 0 | 1 | - | Unknown |
| Naiditch, Ernest W CRD: 32636 | - | 0 | 0 | A | INACTIVE |
| Naik Company, LLC CRD: 281329 | - | 0 | 0 | - | Unknown |
| Naismith Wealth Management CRD: 172597 | - | 0 | 0 | - | Unknown |
| Najarian Family Office, LLC CRD: 282209 | - | 0 | 5 | - | Unknown |
| Najarian Financial LLC CRD: 306339 | - | 0 | 2 | - | Unknown |
| Nakoma Capital Management, LLC CRD: 108014 | - | 0 | 0 | - | Unknown |
| Nakoma Capital Management, LLC CRD: 330825 | - | 0 | 0 | - | Unknown |
| Nakz I GP, LLC CRD: 328996 | - | 0 | 1 | - | Unknown |
| Nala Capital Advisors CRD: 288816 | - | 0 | 0 | - | Unknown |
| Nalanda Capital PTE Ltd. CRD: 163183 | - | 0 | 0 | - | Unknown |
| Nalico Equity Corporation CRD: 15530 | - | 4 | 0 | C | INACTIVE |
| Namco Equities Corporation CRD: 15466 | - | 0 | 0 | A | INACTIVE |
| Namcoa CRD: 133978 | - | 0 | 17 | - | Unknown |
| Namesake Group CRD: 324779 | - | 0 | 1 | - | Unknown |
| Namm Financial LLC CRD: 151860 | - | 0 | 1 | - | Unknown |
| Namsoft Advisors, LLC CRD: 338837 | - | 0 | 1 | - | Unknown |
| Namtaf Advisors, LLC CRD: 317049 | - | 0 | 0 | - | Unknown |
| NAN M. Zimdars, Inc. CRD: 113122 | - | 0 | 0 | - | Unknown |
| Nanban Capital CRD: 309971 | - | 0 | 0 | - | Unknown |
| Nanban Investments CRD: 309713 | - | 0 | 0 | - | Unknown |
| Nancy Barron & Associates, Inc. CRD: 30201 | KY | 1 | 2 | B | Active |
| Nancy Creek Capital Management, LLC CRD: 162683 | - | 0 | 0 | - | Unknown |
| Nancy K Weeks Associates, LLC CRD: 135737 | - | 0 | 1 | - | Unknown |
| Nand Capital, Inc. CRD: 301623 | - | 0 | 0 | - | Unknown |
| Nand Capital, Inc. CRD: 334112 | - | 0 | 1 | - | Unknown |
| Nandi Pathefinder & Flourish Financial Group CRD: 165340 | - | 0 | 1 | - | Unknown |
| Nandra Group, Inc. CRD: 32850 | - | 1 | 0 | B | INACTIVE |
| Nanes, Delorme Capital Management LLC CRD: 104135 | - | 4 | 0 | C | INACTIVE |
| Nano-CAP NEW Millennium Advisors, LLC CRD: 167671 | - | 0 | 1 | - | Unknown |
| Nanodimension AG CRD: 162911 | - | 0 | 0 | - | Unknown |
| Nanodimension AG CRD: 315030 | - | 0 | 0 | - | Unknown |
| Nanodimension, Inc. CRD: 162764 | - | 0 | 1 | - | Unknown |
| Nantahala Capital Management, LLC CRD: 158081 | - | 0 | 1 | - | Unknown |
| Nantas CRD: 336473 | - | 0 | 0 | - | Unknown |
| Nantucket Capital Management LLC CRD: 107882 | - | 0 | 0 | - | Unknown |
| Nantucket Multi Managers, LLC CRD: 129024 | - | 0 | 1 | - | Unknown |
| Nantucket Securities Company, LLC CRD: 112318 | - | 1 | 0 | B | INACTIVE |
| Nanus, Arthur Ralph CRD: 33015 | - | 0 | 0 | A | INACTIVE |
| Napa Valley Wealth Management CRD: 121158 | - | 0 | 0 | - | Unknown |
| Napa Wealth Management CRD: 137724 | - | 0 | 0 | - | Unknown |
| Napatree Capital LLC CRD: 292776 | - | 0 | 1 | - | Unknown |
| Naper Securities Corporation CRD: 17545 | - | 0 | 0 | A | INACTIVE |
| Naperville Private Wealth, LLC CRD: 333761 | - | 0 | 1 | - | Unknown |
| Napier Financial CRD: 336725 | - | 0 | 5 | - | Unknown |
| Napier Park Global Capital (US) LP CRD: 166333 | - | 0 | 1 | - | Unknown |
| Napier Park Global Capital Ltd CRD: 157629 | - | 0 | 0 | - | Unknown |
| Naples Equity Advisors, LLC CRD: 151816 | - | 0 | 0 | - | Unknown |