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
National Investment Services of America, LLC
CRD: 307169
 - 0 2 - Unknown
National Investment Services, Inc
CRD: 111746
 - 0 0 - Unknown
National Investor Services Corp.
CRD: 39410
 - 7 0 D INACTIVE
National Mutual Funds Management Ltd
CRD: 324308
 - 0 0 - Unknown
National Partnership Equities,Inc.
CRD: 10956
 - 1 0 B INACTIVE
National Pension & Group Consultants, Inc
CRD: 613
 - 1 0 B INACTIVE
National Planning Corporation
CRD: 29604
 - 17 0 D INACTIVE
National Private Shares, Inc.
CRD: 299487
 - 0 0 - Unknown
National Real Estate Advisors
CRD: 148615
 - 0 1 - Unknown
National Retirement Consultants Inc
CRD: 106692
 - 0 0 - Unknown
National Retirement Institute
CRD: 339474
 - 0 1 - Unknown
National Retirement Plan Services, Inc.
CRD: 148026
 - 0 1 - Unknown
National Securities & Research Corporation
CRD: 614
 - 0 0 A INACTIVE
National Securities Corporation
CRD: 7569
 - 82 0 F INACTIVE
National Selected Securities Corp.
CRD: 8299
 - 0 0 A INACTIVE
National Valuation Consultants, Inc
CRD: 164739
 - 0 0 - Unknown
National Venture Development
CRD: 162019
 - 0 1 - Unknown
National Wealth Management Group, LLC
CRD: 174883
 - 0 16 - Unknown
National Wealth Partners LLC
CRD: 243787
 - 0 0 - Unknown
Nations Financial Group, Inc.
CRD: 44181
 IA 1 46 B Active
Nationsbanc Securities of Georgia, Inc.
CRD: 315
 - 0 0 A INACTIVE
Nationssecurities
CRD: 32542
 - 0 0 A INACTIVE
Nationvest Capital, L.L.C.
CRD: 38609
 - 0 0 A INACTIVE
Nationwide Asset Management Corporation
CRD: 42412
 - 0 0 A INACTIVE
Nationwide Asset Management, LLC
CRD: 143668
 - 0 1 - Unknown
Nationwide Capital Securities, Inc.
CRD: 15758
 - 0 0 A INACTIVE
Nationwide Fund Advisors
CRD: 109391
 - 0 1 - Unknown
Nationwide Fund Distributors LLC
CRD: 25910
 OH 1 2 B Active
Nationwide Investment Advisors, LLC
CRD: 142373
 - 0 29 - Unknown
Nationwide Investment Services Corporation
CRD: 7110
 OH 5 81 B Active
Nationwide Planning Associates Inc.
CRD: 31029
 NJ 3 27 B Active
Nationwide Securities Corporation
CRD: 29720
 - 0 0 A INACTIVE
Nationwide Securities Investment Corporation
CRD: 14651
 - 0 0 A INACTIVE
Nationwide Securities, LLC
CRD: 11173
 OH 13 15 B Active
Natisa Securities LLC
CRD: 323904
 IL 0 2 A Active
Native American Fund Advisors LLC
CRD: 108149
 - 0 1 - Unknown
Native American Securities Company, Inc.
CRD: 104288
 - 4 0 C INACTIVE
Native Finance Investment Advisory
CRD: 168783
 - 0 1 - Unknown
Native Nations Securities, Inc.
CRD: 47478
 - 0 0 A INACTIVE
Native Nations Securities, Inc.
CRD: 334
 - 8 0 D INACTIVE
Nativeone Institutional Trading, LLC.
CRD: 122430
 - 5 0 C INACTIVE
Natixis Advisors, LLC
CRD: 106800
 - 0 24 - Unknown
Natixis Asset Management Asia Limited
CRD: 143244
 - 0 0 - Unknown
Natixis Distribution, LLC
CRD: 34754
 MA 0 11 A Active
Natixis Securities Americas LLC
CRD: 1101
 NY 17 115 B Active
Natixis Securities North America Inc.
CRD: 28722
 - 2 0 B INACTIVE
Natomas Securities, Ltd.
CRD: 18438
 - 0 0 A INACTIVE
Natsec Capital Partners LLC
CRD: 330357
 - 0 0 - Unknown
Natsource Securities LLC
CRD: 149645
 - 0 0 A INACTIVE
Natural Bridges Financial Advisors
CRD: 148056
 - 0 1 - Unknown
Page 997 of 1601 (80,028 total)
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