Broker-Dealer Firms
200 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 |
|---|---|---|---|---|---|
| 2021 Capital CRD: 314855 | IL | 0 | 2 | A | Active |
| 303 Alternatives, LLC CRD: 166675 | IL | 0 | 1 | A | Active |
| 303 Securities, LP CRD: 288569 | IL | 1 | 1 | B | Active |
| 3G Financial CRD: 317740 | IL | 0 | 4 | A | Active |
| 4170 Securities LLC CRD: 326718 | IL | 0 | 1 | A | Active |
| Aardvark Securities LLC CRD: 166932 | IL | 0 | 1 | A | Active |
| ABN Amro Clearing USA LLC CRD: 14020 | IL | 83 | 3 | F | Active |
| Access Financial Group, Inc. CRD: 33065 | IL | 6 | 5 | B | Active |
| Accessalpha Worldwide LLC CRD: 142279 | IL | 1 | 2 | B | Active |
| AEG Capital, LLC CRD: 168097 | IL | 0 | 2 | A | Active |
| Akuna Securities LLC CRD: 159041 | IL | 7 | 1 | D | Active |
| Alera Securities LLC CRD: 335132 | IL | 0 | 2 | A | Active |
| Alight Financial Solutions, LLC CRD: 36509 | IL | 4 | 3 | B | Active |
| AMD Capital, LLC CRD: 121539 | IL | 0 | 2 | A | Active |
| Andes Capital Group, LLC CRD: 139212 | IL | 3 | 3 | B | Active |
| AON Securities LLC CRD: 4138 | IL | 3 | 11 | B | Active |
| Arbor Research & Trading, LLC CRD: 21313 | IL | 2 | 2 | B | Active |
| Archipelago Securities L.L.C. CRD: 102500 | IL | 6 | 4 | B | Active |
| Archipelago Trading Services, Inc. CRD: 15853 | IL | 5 | 4 | B | Active |
| Arete Wealth Management, LLC CRD: 44856 | IL | 6 | 62 | B | Active |
| Ariel Distributors, LLC CRD: 38333 | IL | 1 | 4 | B | Active |
| Artemis Securities Clearing, LLC CRD: 125473 | IL | 0 | 3 | A | Active |
| Avant-Garde Trading Securities CRD: 292119 | IL | 0 | 2 | A | Active |
| B. C. Ziegler and Company CRD: 61 | IL | 12 | 18 | B | Active |
| Bankers Life Securities, Inc. CRD: 173962 | IL | 1 | 222 | B | Active |
| Barrington Research Associates, Inc. CRD: 13820 | IL | 1 | 2 | B | Active |
| Bates Securities, Inc. CRD: 10759 | IL | 0 | 3 | A | Active |
| BDO Capital Advisors, LLC CRD: 109679 | IL | 0 | 6 | A | Active |
| BDT & MSD Partners, LLC CRD: 150459 | IL | 0 | 8 | A | Active |
| Belvedere Trading LLC CRD: 132605 | IL | 29 | 9 | D | Active |
| Bernardi Securities, Inc. CRD: 15834 | IL | 3 | 5 | B | Active |
| Birch Lake Partners, LP CRD: 285558 | IL | 0 | 2 | A | Active |
| Black Edge Securities LLC CRD: 309241 | IL | 0 | 1 | A | Active |
| Black OAK Securities, Inc. CRD: 30889 | IL | 0 | 11 | A | Active |
| Blue Vista Capital, LLC CRD: 127001 | IL | 0 | 3 | A | Active |
| Bolt-X LLC CRD: 140802 | IL | 3 | 2 | B | Active |
| Bridge Alternatives Securities, LLC. CRD: 298625 | IL | 0 | 2 | A | Active |
| Broadhaven Securities LLC CRD: 157804 | IL | 0 | 3 | A | Active |
| Bruce Markets LLC CRD: 300209 | IL | 0 | 2 | A | Active |
| Cabot Lodge Securities LLC CRD: 159712 | IL | 3 | 80 | B | Active |
| Cabrera Capital Markets, LLC CRD: 10081 | IL | 4 | 9 | B | Active |
| Cadman Securities, LLC CRD: 128344 | IL | 0 | 2 | A | Active |
| Cardinal Investments, Inc. CRD: 36838 | IL | 1 | 2 | B | Active |
| CCM Securities, LLC CRD: 104457 | IL | 2 | 3 | B | Active |
| Chauner Securities, Inc. CRD: 10075 | IL | 1 | 5 | B | Active |
| Churchill Stateside Securities, LLC CRD: 154603 | IL | 0 | 5 | A | Active |
| City Capital Advisors, LLC CRD: 143528 | IL | 0 | 2 | A | Active |
| CMD Global Partners, LLC CRD: 306063 | IL | 0 | 4 | A | Active |
| Coda Markets, Inc. CRD: 36187 | IL | 15 | 2 | D | Active |
| Cognitive Capital, LLC CRD: 131272 | IL | 1 | 2 | B | Active |
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