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
Nason Hill Wealth Management Inc.
CRD: 292830
 - 0 0 - Unknown
Nassau Alternative Investments LLC
CRD: 300006
 - 0 1 - Unknown
Nassau Coramerica LLC
CRD: 172588
 - 0 0 - Unknown
Nassau Coramerica LLC
CRD: 334332
 - 0 1 - Unknown
Nassau Corporation
CRD: 33246
 - 0 0 A INACTIVE
Nassau Global Credit LLC
CRD: 287937
 - 0 1 - Unknown
Nassau Private Credit LLC
CRD: 300220
 - 0 1 - Unknown
Nassau Securities, Inc.
CRD: 14302
 - 0 0 A INACTIVE
Nassau Street Securities, LLC
CRD: 339050
 NY 0 1 A Active
NAT Berger Securities Corp.
CRD: 1221
 - 0 0 A INACTIVE
Nat'l Assn. of Securities Dealers Inc.
CRD: 6881
 - 0 0 A INACTIVE
Natale Capital Management, LLC
CRD: 169996
 - 0 0 - Unknown
Natalie M. Kassenyeva
CRD: 158740
 - 0 1 - Unknown
Natalliance Asset Management LLC
CRD: 296788
 - 0 0 - Unknown
Natalliance Securities, LLC
CRD: 39455
 TX 8 14 B Active
Natare Capital Management LP
CRD: 294229
 - 0 1 - Unknown
Natcity Insurance Services, Inc.
CRD: 16989
 - 3 0 C INACTIVE
Natcity Investments, Inc.
CRD: 17490
 - 17 0 D INACTIVE
Natenberg, Terrel Paul
CRD: 34271
 - 1 0 B INACTIVE
Natexis Securities, Inc.
CRD: 45102
 - 1 0 B INACTIVE
Nathan & Lewis Securities, Inc.
CRD: 8503
 - 3 0 C INACTIVE
Nathan G. Hanna, LLC
CRD: 158936
 - 0 4 - Unknown
Nathan Hale Capital, LLC
CRD: 123650
 - 0 0 A INACTIVE
Nathanael R. Brayton, CFA
CRD: 130269
 - 0 2 - Unknown
Nathanson, Philip David
CRD: 123901
 - 0 0 - Unknown
National 401K Benefits LLC
CRD: 285562
 - 0 0 - Unknown
National Accounting and Business Solutions, SC
CRD: 165186
 - 0 1 - Unknown
National Advanced Systems Securities Corporation
CRD: 10155
 - 0 0 A INACTIVE
National Advisors Network, LLC
CRD: 145819
 - 0 0 - Unknown
National Bank of Canada Financial Inc.
CRD: 22698
 NY 10 8 B Active
National Business Planning
CRD: 283772
 - 0 0 - Unknown
National Capital Securities Corporation
CRD: 23095
 - 0 0 A INACTIVE
National Capital Securities, Inc.
CRD: 37702
 - 4 0 C INACTIVE
National Capital Trading, LLC
CRD: 26078
 - 4 0 C INACTIVE
National Christian Financial Advisors, Inc
CRD: 154794
 - 0 1 - Unknown
National City Investments Corporation
CRD: 17365
 - 0 0 A INACTIVE
National Clearing Corp.
CRD: 14343
 - 57 0 F INACTIVE
National Diagnostic Securities
CRD: 15951
 - 0 0 A INACTIVE
National Discount Securities Corp.
CRD: 14570
 - 0 0 A INACTIVE
National Equity Advisors, Inc.
CRD: 13375
 - 1 0 B INACTIVE
National Equity Resources Inc.
CRD: 17642
 - 0 0 A INACTIVE
National Equity Securities Corporation
CRD: 14527
 - 0 0 A INACTIVE
National Financial Services LLC
CRD: 13041
 MA 62 70 C Active
National Fund Advisors, LLC
CRD: 160441
 - 0 0 - Unknown
National Integrity Life Insurance Company
CRD: 18216
 - 0 0 A INACTIVE
National Investment and Infrastructure Fund Limite…
CRD: 313045
 - 0 0 - Unknown
National Investment Consulting Corporation
CRD: 7912
 - 0 0 A INACTIVE
National Investment Corporation of Naples, Inc.
CRD: 13735
 - 0 0 A INACTIVE
National Investment Funds, Inc.
CRD: 29773
 - 0 0 A INACTIVE
National Investment Securities Corporation
CRD: 13574
 - 0 0 A INACTIVE
Page 996 of 1601 (80,028 total)
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