Broker-Dealer Firms
251 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 |
|---|---|---|---|---|---|
| 1ST Discount Brokerage, Inc. CRD: 39164 | FL | 10 | 10 | B | Active |
| AAG Capital, Inc CRD: 188 | FL | 1 | 11 | B | Active |
| AC Sunshine Securities LLC CRD: 317903 | FL | 0 | 2 | A | Active |
| ACP Securities, LLC CRD: 139049 | FL | 4 | 6 | B | Active |
| AGM Securities LLC CRD: 132197 | FL | 0 | 3 | A | Active |
| Akar Capital Management, Inc. CRD: 10791 | FL | 2 | 3 | B | Active |
| Allaria Securities, LLC CRD: 286504 | FL | 0 | 3 | A | Active |
| Alternative Markets CRD: 336243 | FL | 0 | 4 | A | Active |
| Amerant Investments, Inc. CRD: 117284 | FL | 1 | 17 | B | Active |
| Amuni Financial, Inc. CRD: 8365 | FL | 3 | 5 | B | Active |
| Andbanc Brokerage, LLC CRD: 155979 | FL | 1 | 2 | B | Active |
| Antarctica Advisors, LLC CRD: 168101 | FL | 0 | 2 | A | Active |
| Aria Capital Advisors, LLC CRD: 130891 | FL | 0 | 2 | A | Active |
| Ashton Stewart & Co., Inc. CRD: 112386 | FL | 0 | 2 | A | Active |
| Aurus Advisors, Inc. CRD: 128096 | FL | 0 | 4 | A | Active |
| Austin Atlantic Capital Inc. CRD: 43981 | FL | 2 | 3 | B | Active |
| Aventura Securities, LLC CRD: 142374 | FL | 0 | 3 | A | Active |
| Avenue Securities LLC CRD: 292589 | FL | 2 | 2 | B | Active |
| AVM, L.P. CRD: 16710 | FL | 0 | 2 | A | Active |
| Balanz Capital USA LLC CRD: 325914 | FL | 0 | 1 | A | Active |
| Banco DO Brasil Securities LLC CRD: 132701 | FL | 1 | 12 | B | Active |
| Barramundi Capital LLC CRD: 316044 | FL | 0 | 2 | A | Active |
| Bayshore Partners, LLC CRD: 131546 | FL | 0 | 5 | A | Active |
| BCI Securities, Inc. CRD: 168047 | FL | 0 | 17 | A | Active |
| Beach Tree Capital, LLC CRD: 338460 | FL | 0 | 2 | A | Active |
| Benchmark Securities LLC CRD: 159940 | FL | 2 | 2 | B | Active |
| Benjamin Securities, Inc. CRD: 7754 | FL | 1 | 7 | B | Active |
| BG Strategic Advisors LLC CRD: 124448 | FL | 0 | 2 | A | Active |
| BGV Securities CRD: 315086 | FL | 0 | 4 | A | Active |
| BHS Financial, LLC CRD: 27514 | FL | 0 | 1 | A | Active |
| BIG SKY Energy Capital, LLC CRD: 165718 | FL | 0 | 2 | A | Active |
| Birkelbach & Co. CRD: 5896 | FL | 1 | 2 | B | Active |
| Bloom Securities, LLC CRD: 284530 | FL | 0 | 2 | A | Active |
| Blue Ocean ATS CRD: 306512 | FL | 1 | 2 | B | Active |
| BPK International LLC CRD: 332880 | FL | 0 | 2 | A | Active |
| Bradesco Investments Inc. CRD: 19453 | FL | 1 | 2 | B | Active |
| Broadspan Securities LLC CRD: 114423 | FL | 0 | 2 | A | Active |
| Bull Market Securities, Inc. CRD: 282480 | FL | 0 | 5 | A | Active |
| Bulltick, LLC CRD: 104005 | FL | 11 | 3 | C | Active |
| Cadz Securities Inc CRD: 326039 | FL | 0 | 1 | A | Active |
| Calton & Associates, Inc. CRD: 20999 | FL | 19 | 205 | B | Active |
| Capacuity Securities, Inc. CRD: 15384 | FL | 0 | 3 | A | Active |
| Capconnect Emarkets, LLC CRD: 310433 | FL | 0 | 1 | A | Active |
| Capital & Estate Management, Inc. CRD: 148504 | FL | 0 | 2 | A | Active |
| Capital Connect, LLC CRD: 329399 | FL | 0 | 4 | A | Active |
| Captivex Securities LLC CRD: 332134 | FL | 0 | 2 | A | Active |
| Carillon Fund Distributors, Inc. CRD: 139749 | FL | 0 | 9 | A | Active |
| Carnes Capital Corporation CRD: 16187 | FL | 5 | 2 | C | Active |
| Cassel Salpeter & Co., LLC CRD: 153522 | FL | 0 | 2 | A | Active |
| CEA Atlantic Advisors, LLC CRD: 127146 | FL | 0 | 2 | A | Active |
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