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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Athene Securities, LLC
CRD: 36867
 IA 0 3 A Active
Ausdal Financial Partners, Inc.
CRD: 7995
 IA 2 198 B Active
Berthel, Fisher & Company Financial Services, Inc.
CRD: 13609
 IA 42 188 B Active
Cambridge Investment Research, Inc.
CRD: 39543
 IA 19 2,837 B Active
Cuna Brokerage Services, Inc.
CRD: 13941
 IA 11 8 D Active
D.M. Kelly & Company
CRD: 38770
 IA 1 2 B Active
FBL Marketing Services, LLC
CRD: 5309
 IA 1 915 B Active
FSB Premier Wealth Management, Inc.
CRD: 15898
 IA 1 6 B Active
Haverkamp Investments, Inc.
CRD: 332335
 IA 0 1 A Active
Integrity Alliance, LLC.
CRD: 139627
 IA 4 428 B Active
Janssen Partners, Inc.
CRD: 43940
 IA 1 2 B Active
Nations Financial Group, Inc.
CRD: 44181
 IA 1 46 B Active
Principal Funds Distributor, Inc.
CRD: 43261
 IA 0 18 A Active
Principal Securities, Inc.
CRD: 1137
 IA 12 1,061 B Active
Sammons Financial Network, LLC
CRD: 158538
 IA 0 2 A Active
Securities Management & Research, Inc.
CRD: 759
 IA 5 56 B Active
Wilton RE Distributors LLC
CRD: 326493
 IA 0 2 A Active