Broker-Dealer Firms
25 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 |
|---|---|---|---|---|---|
| ARC Group Securities LLC CRD: 132026 | AZ | 2 | 2 | B | Active |
| Benefit Finance Securities, LLC CRD: 45113 | AZ | 0 | 4 | A | Active |
| BFP Securities, LLC CRD: 44731 | AZ | 0 | 2 | A | Active |
| Brooklight Place Securities, Inc. CRD: 15764 | AZ | 0 | 12 | A | Active |
| Capulent LLC CRD: 155155 | AZ | 0 | 5 | A | Active |
| CCO Capital, LLC CRD: 31147 | AZ | 0 | 4 | A | Active |
| Click Capital Markets CRD: 168376 | AZ | 0 | 2 | A | Active |
| Columbia West Capital, LLC CRD: 135562 | AZ | 0 | 2 | A | Active |
| Davis Distributors, LLC CRD: 7975 | AZ | 3 | 3 | B | Active |
| Dinan Capital Advisors CRD: 157327 | AZ | 0 | 7 | A | Active |
| Fairport Capital, Inc. CRD: 15034 | AZ | 0 | 5 | A | Active |
| Favorpoint Capital CRD: 336295 | AZ | 0 | 1 | A | Active |
| Link Securities LLC CRD: 144095 | AZ | 0 | 2 | A | Active |
| M. S. Howells & Co. CRD: 104100 | AZ | 0 | 42 | A | Active |
| Martinwolf CRD: 47936 | AZ | 0 | 2 | A | Active |
| Osaic Services, Inc. CRD: 133763 | AZ | 37 | 1 | F | Active |
| Osaic Wealth, Inc. CRD: 23131 | AZ | 82 | 5,899 | B | Active |
| Scottsdale Capital Advisors Corp CRD: 118786 | AZ | 6 | 3 | B | Active |
| Sunstreet Securities, LLC CRD: 143211 | AZ | 0 | 10 | A | Active |
| TAG Wealth Management, LLC CRD: 1357 | AZ | 0 | 2 | A | Active |
| Union Capital Company CRD: 110301 | AZ | 2 | 11 | B | Active |
| United Planners' Financial Services of America a L… CRD: 20804 | AZ | 15 | 417 | B | Active |
| Ventureaide Capital, LLC CRD: 298892 | AZ | 0 | 2 | A | Active |
| Vision 4 Fund Distributors CRD: 298105 | AZ | 0 | 2 | A | Active |
| Walton RE Securities, LLC CRD: 172024 | AZ | 1 | 2 | B | Active |