Broker-Dealer Firms
17 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 |
|---|---|---|---|---|---|
| BHK Securities, LLC CRD: 139665 | AL | 0 | 3 | A | Active |
| CRI M&A Advisors, LLC CRD: 154996 | AL | 0 | 4 | A | Active |
| FNBB Capital Markets, LLC CRD: 132091 | AL | 2 | 4 | B | Active |
| Founders M&A Advisory, LLC CRD: 269926 | AL | 0 | 2 | A | Active |
| Investment Distributors, Inc. CRD: 35490 | AL | 1 | 10 | B | Active |
| JOE Jolly & Co., Inc. CRD: 7170 | AL | 8 | 2 | C | Active |
| Keel Point Capital, LLC CRD: 6769 | AL | 0 | 12 | A | Active |
| LEC Investment Corp. CRD: 25336 | AL | 1 | 2 | B | Active |
| Little River Capital, LLC CRD: 118917 | AL | 0 | 2 | A | Active |
| NBC Securities, Inc. CRD: 17870 | AL | 6 | 43 | B | Active |
| Park Place Capital Securities Corp. CRD: 326891 | AL | 0 | 2 | A | Active |
| Redmont Capital Markets LLC CRD: 300536 | AL | 0 | 2 | A | Active |
| SCA Development, LLC CRD: 35451 | AL | 3 | 2 | B | Active |
| Stonex Securities Inc. CRD: 18456 | AL | 13 | 309 | B | Active |
| THE Frazer Lanier Company, Incorporated CRD: 7089 | AL | 5 | 4 | B | Active |
| Thornton Farish Inc. CRD: 830 | AL | 1 | 2 | B | Active |
| Vested Securities CRD: 311789 | AL | 0 | 2 | A | Active |