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 |
|---|---|---|---|---|---|
| Natural Capital CRD: 306002 | - | 0 | 1 | - | Unknown |
| Natural Investments CRD: 113348 | - | 0 | 28 | - | Unknown |
| Natural Selection Financial, Inc. CRD: 137287 | - | 0 | 0 | - | Unknown |
| Nature Infrastructure Capital CRD: 341360 | - | 0 | 0 | - | Unknown |
| Natureza Management LLC CRD: 323316 | - | 0 | 1 | - | Unknown |
| Natwealth Management CRD: 310098 | - | 0 | 0 | - | Unknown |
| Natwest Capital Markets Securities Inc. CRD: 19718 | - | 0 | 0 | A | INACTIVE |
| Natwest Finance Inc. CRD: 26125 | - | 0 | 0 | A | INACTIVE |
| Natwest International Securities Inc. CRD: 26123 | - | 0 | 0 | A | INACTIVE |
| Natwest Markets Securities Inc. CRD: 11707 | CT | 47 | 7 | D | Active |
| Natwest Securities Corporation CRD: 18238 | - | 0 | 0 | A | INACTIVE |
| NAU Securities Limited CRD: 311695 | - | 0 | 0 | - | Unknown |
| NAU Securities Limited CRD: 281683 | - | 0 | 0 | - | Unknown |
| Nault Financial Group LLC CRD: 140213 | - | 0 | 0 | - | Unknown |
| Nauset Wealth Management, LLC CRD: 110360 | - | 0 | 0 | - | Unknown |
| Nauta Capital LLC CRD: 329207 | - | 0 | 1 | - | Unknown |
| Nauta Capital VC Partners Sgeic, S.A. CRD: 282264 | - | 0 | 0 | - | Unknown |
| Nautic Partners, LLC CRD: 159822 | - | 0 | 1 | - | Unknown |
| Nautica Asset Management LLC CRD: 282765 | - | 0 | 3 | - | Unknown |
| Nautica Wealth Advisors CRD: 111481 | - | 0 | 0 | - | Unknown |
| Nautical Echo Capital Ltd CRD: 339335 | - | 0 | 1 | - | Unknown |
| Nautical Financial Planning CRD: 297187 | - | 0 | 2 | - | Unknown |
| Nautical Home Lending LLC CRD: 155583 | - | 0 | 1 | - | Unknown |
| Nautical Star Financial Group LLC CRD: 316426 | - | 0 | 4 | - | Unknown |
| Nautilus Advisors LLC CRD: 154169 | - | 0 | 3 | - | Unknown |
| Nautilus AI SPV Management Company, LLC CRD: 335854 | - | 0 | 1 | - | Unknown |
| Nautilus AIM LLC CRD: 335892 | - | 0 | 1 | - | Unknown |
| Nautilus Financial Group, Inc. CRD: 157164 | - | 0 | 1 | - | Unknown |
| Nautilus Funding Solutions CRD: 328845 | - | 0 | 1 | - | Unknown |
| Nautilus Ventures Advisors US, LLC CRD: 301082 | - | 0 | 1 | - | Unknown |
| Nautilus Ventures Management Company (US), LLC CRD: 226758 | - | 0 | 1 | - | Unknown |
| Nautilus Wealth Advisors CRD: 311853 | - | 0 | 1 | - | Unknown |
| NAV Advisors CRD: 281551 | - | 0 | 0 | - | Unknown |
| NAV Financial, LLC CRD: 331534 | - | 0 | 1 | - | Unknown |
| NAV Management LLC CRD: 269834 | - | 0 | 0 | - | Unknown |
| NAV Wealth Management Corp. CRD: 149629 | - | 0 | 1 | - | Unknown |
| NAV Wealth Management LLC CRD: 174195 | - | 0 | 1 | - | Unknown |
| NAV Wealth Partners CRD: 332638 | - | 0 | 1 | - | Unknown |
| Nava SC Securities, Inc. CRD: 35543 | - | 0 | 0 | A | INACTIVE |
| Nava Ventures, LLC CRD: 317758 | - | 0 | 1 | - | Unknown |
| Navaid Financial Services, Inc. CRD: 42607 | NJ | 1 | 2 | B | Active |
| Navalfa Activos Alternativos CRD: 166898 | - | 0 | 0 | - | Unknown |
| Navalign, LLC CRD: 119919 | - | 0 | 2 | - | Unknown |
| Navar Capital, LLC CRD: 315278 | - | 0 | 1 | - | Unknown |
| Navarro Asset Management, LLC CRD: 318323 | - | 0 | 2 | - | Unknown |
| Navellier & Associates Inc CRD: 107568 | - | 0 | 6 | - | Unknown |
| Navellier Securities Corp. CRD: 34861 | - | 5 | 0 | C | INACTIVE |
| Navemar Capital Management, LP CRD: 298914 | - | 0 | 1 | - | Unknown |
| Navesink Advisors LLC CRD: 117456 | - | 0 | 1 | - | Unknown |
| Navi Intl-Administradora E Gestora DE Recursos Fin… CRD: 332351 | - | 0 | 0 | - | Unknown |