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 |
|---|---|---|---|---|---|
| Naples Global Advisors CRD: 158544 | - | 0 | 5 | - | Unknown |
| Naples Money Management LLC CRD: 153499 | - | 0 | 1 | - | Unknown |
| Naples Private Capital, LLC CRD: 341626 | - | 0 | 1 | - | Unknown |
| Naples Wealth Planning CRD: 330316 | - | 0 | 3 | - | Unknown |
| Napoli Options CRD: 31673 | - | 0 | 0 | A | INACTIVE |
| Napraforgo Credit CRD: 313455 | - | 0 | 0 | - | Unknown |
| Naqvi, Mujteba CRD: 318382 | - | 0 | 1 | - | Unknown |
| Naqvi-VAN Ness Asset Management LLC CRD: 163584 | - | 0 | 0 | - | Unknown |
| NAR Capital, Inc. CRD: 120569 | - | 0 | 0 | A | INACTIVE |
| Nara Capital, LP CRD: 287577 | - | 0 | 0 | - | Unknown |
| Nardene Wealth Management Inc CRD: 148528 | - | 0 | 1 | - | Unknown |
| Nardis Advisors LLC CRD: 151517 | - | 0 | 2 | - | Unknown |
| Nare Life Management Company, Inc. CRD: 5278 | - | 0 | 0 | A | INACTIVE |
| Narragansett BAY Securities, Inc. CRD: 47971 | - | 0 | 0 | A | INACTIVE |
| Narrative Capital Management, LP CRD: 288697 | - | 0 | 0 | - | Unknown |
| Narrative Financial CRD: 282016 | - | 0 | 0 | - | Unknown |
| Narrative Financial Group CRD: 333936 | - | 0 | 1 | - | Unknown |
| Narrow Gate Energy, LLC CRD: 342433 | - | 0 | 1 | - | Unknown |
| Narrow Gate Wealth Management LLC CRD: 314836 | - | 0 | 0 | - | Unknown |
| Narrow Gauge Capital, LLC CRD: 294792 | - | 0 | 1 | - | Unknown |
| Narrow Gauge Ventures Fund Management, LLC CRD: 309136 | - | 0 | 1 | - | Unknown |
| Narrow Path Financial Inc. CRD: 173480 | - | 0 | 1 | - | Unknown |
| Narrow Path Guidance, LLC CRD: 338470 | - | 0 | 1 | - | Unknown |
| Narrow Road Asset Management CRD: 334228 | - | 0 | 1 | - | Unknown |
| Narrow Water Partners Ltd CRD: 331676 | - | 0 | 0 | - | Unknown |
| Narsar Asset Management LLC CRD: 335297 | - | 0 | 1 | - | Unknown |
| Narstar CRD: 337496 | - | 0 | 2 | - | Unknown |
| Narus Financial Partners, LLC CRD: 173534 | - | 0 | 3 | - | Unknown |
| Narwhal Capital Management CRD: 135958 | - | 0 | 1 | - | Unknown |
| Narya Capital Management, LLC CRD: 307707 | - | 0 | 1 | - | Unknown |
| Nasca and Associates, Inc CRD: 119710 | - | 0 | 1 | - | Unknown |
| Nasche Asset Management LLC CRD: 308014 | - | 0 | 2 | - | Unknown |
| Nasdaq Capital Markets Advisory LLC CRD: 104295 | NY | 4 | 4 | B | Active |
| Nasdaq Dorsey Wright CRD: 104925 | - | 0 | 9 | - | Unknown |
| Nasdaq Execution Services, LLC CRD: 7270 | PA | 10 | 3 | C | Active |
| Naseeb CRD: 330409 | - | 0 | 1 | - | Unknown |
| Nash Financial Corporation CRD: 43328 | - | 0 | 0 | A | INACTIVE |
| Nash Financial Services, LLC CRD: 299647 | - | 0 | 0 | - | Unknown |
| Nash Securities, Inc. CRD: 15293 | - | 0 | 0 | A | INACTIVE |
| Nash, Weiss & Co. CRD: 42967 | - | 0 | 0 | A | INACTIVE |
| Nash, Weiss & Co. CRD: 6470 | - | 0 | 0 | A | INACTIVE |
| Nash-Hasty Private Wealth Management CRD: 328332 | - | 0 | 1 | - | Unknown |
| Nashional Investments CRD: 289955 | - | 0 | 1 | - | Unknown |
| Nashoba Financial Planning CRD: 130519 | - | 0 | 0 | - | Unknown |
| Nashoba Valley Wealth Management CRD: 342479 | - | 0 | 1 | - | Unknown |
| Nashua Capital Management LLC CRD: 160438 | - | 0 | 1 | - | Unknown |
| Nashville Financial Planning CRD: 328315 | - | 0 | 1 | - | Unknown |
| Nashville Financial Services PLLC CRD: 285115 | - | 0 | 0 | - | Unknown |
| Nashville Securities Co CRD: 11342 | - | 0 | 0 | A | INACTIVE |
| Nasira Financial CRD: 299293 | - | 0 | 1 | - | Unknown |