Broker-Dealer Firms
89 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Airwallex Capital (US) LLC CRD: 332388 | CA | 0 | 2 | A | Active |
| Alamo Capital CRD: 26193 | CA | 3 | 5 | B | Active |
| American Investors Company CRD: 38 | CA | 5 | 44 | B | Active |
| Apsec Capital Partners, LLC CRD: 149687 | CA | 0 | 2 | A | Active |
| Aquilo Partners, L.P. CRD: 114909 | CA | 0 | 4 | A | Active |
| Aream Advisors LLC CRD: 318177 | CA | 0 | 2 | A | Active |
| ARK Securities LLC CRD: 246787 | CA | 0 | 3 | A | Active |
| AW Securities CRD: 103747 | CA | 0 | 31 | A | Active |
| B.B. Graham & Company, Inc. CRD: 41533 | CA | 7 | 41 | B | Active |
| Backstrom Mccarley Berry & Co., LLC CRD: 124503 | CA | 0 | 2 | A | Active |
| Bardi Co. LLC CRD: 166134 | CA | 0 | 6 | A | Active |
| Bivo Financial LLC CRD: 331283 | CA | 0 | 2 | A | Active |
| Blakeslee and Blakeslee Inc. CRD: 8149 | CA | 0 | 7 | A | Active |
| Boursa Investments CRD: 152516 | CA | 0 | 2 | A | Active |
| Brooklands Capital Strategies BD, LP CRD: 281951 | CA | 0 | 2 | A | Active |
| Btig, LLC CRD: 122225 | CA | 13 | 28 | C | Active |
| CMG Securities LLC CRD: 289090 | CA | 0 | 6 | A | Active |
| CP Investments, LLC CRD: 24029 | CA | 1 | 4 | B | Active |
| CWS Investments CRD: 23551 | CA | 2 | 21 | B | Active |
| Decker & Co, LLC CRD: 166446 | CA | 1 | 2 | B | Active |
| Digital Offering LLC CRD: 166401 | CA | 0 | 2 | A | Active |
| Dream Street Securities, LLC CRD: 324818 | CA | 0 | 1 | A | Active |
| Dunham CRD: 13162 | CA | 4 | 12 | B | Active |
| Echelon Capital CRD: 155228 | CA | 0 | 2 | A | Active |
| Emerson Equity LLC CRD: 130032 | CA | 2 | 110 | B | Active |
| Farmers Financial Solutions, LLC CRD: 103863 | CA | 5 | 2,417 | B | Active |
| FMN Capital Corporation CRD: 38105 | CA | 1 | 4 | B | Active |
| Frec Securities LLC CRD: 316641 | CA | 0 | 2 | A | Active |
| FTP Securities LLC CRD: 129356 | CA | 1 | 3 | B | Active |
| Galt Financial Group, Inc. CRD: 146976 | CA | 0 | 2 | A | Active |
| Gcmi Securities Corp. CRD: 139520 | CA | 0 | 2 | A | Active |
| Global Digital Markets CRD: 298720 | CA | 0 | 1 | A | Active |
| Greif & Co. CRD: 30345 | CA | 0 | 2 | A | Active |
| GT Securities, Inc. CRD: 116012 | CA | 0 | 2 | A | Active |
| Hamilton Grant LLC CRD: 166180 | CA | 0 | 9 | A | Active |
| Houlihan Lokey Capital, Inc. CRD: 17708 | CA | 2 | 14 | C | Active |
| J K R & Company, Inc. CRD: 8040 | CA | 2 | 6 | B | Active |
| JCP Securities CRD: 140318 | CA | 0 | 2 | A | Active |
| Jiko Securities Inc. CRD: 287507 | CA | 0 | 3 | A | Active |
| Jonestrading CRD: 6888 | CA | 9 | 21 | C | Active |
| KA Associates, LLC CRD: 32029 | CA | 1 | 3 | B | Active |
| Karmeq, LLC CRD: 300796 | CA | 0 | 2 | A | Active |
| Kayan Securities, Inc. CRD: 156175 | CA | 1 | 3 | B | Active |
| Kema Partners LLC CRD: 143752 | CA | 0 | 8 | A | Active |
| Kipling Capital, Inc. CRD: 41196 | CA | 0 | 3 | A | Active |
| LA Honda Advisors LLC CRD: 165045 | CA | 0 | 2 | A | Active |
| LYNX Capital, LLC CRD: 137178 | CA | 0 | 2 | A | Active |
| Madison Capital Markets LLC CRD: 332196 | CA | 0 | 2 | A | Active |
| MSA Securities, LLC CRD: 150557 | CA | 1 | 2 | B | Active |
| NHN Nexus Partners, LLC CRD: 336594 | CA | 0 | 2 | A | Active |
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