Broker-Dealer Firms
16 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 |
|---|---|---|---|---|---|
| Atis, Inc CRD: 148274 | IN | 0 | 3 | A | Active |
| Ceres Securities, LLC CRD: 269903 | IN | 1 | 2 | B | Active |
| CFD Investments, Inc. CRD: 25427 | IN | 8 | 104 | B | Active |
| Dougall & Associates Inc. CRD: 42324 | IN | 3 | 3 | B | Active |
| EBH Securities, Inc. CRD: 36592 | IN | 2 | 2 | B | Active |
| Fnex Capital, LLC CRD: 166316 | IN | 0 | 9 | A | Active |
| Kittle Capital Markets, LLC CRD: 159174 | IN | 0 | 3 | A | Active |
| Merlin's Priest CRD: 334898 | IN | 0 | 1 | A | Active |
| Morris Group, Inc. CRD: 13181 | IN | 0 | 2 | A | Active |
| ONE 2800 Capital Advisors, LLC CRD: 304777 | IN | 0 | 2 | A | Active |
| Oneamerica Securities, Inc. CRD: 4173 | IN | 6 | 198 | B | Active |
| Periculum Capital Markets, LLC CRD: 43362 | IN | 1 | 2 | B | Active |
| SCH Enterprises, Inc. CRD: 47033 | IN | 1 | 2 | B | Active |
| Sealion Capital, LLC CRD: 171807 | IN | 0 | 2 | A | Active |
| Sycamore Financial Group CRD: 14143 | IN | 1 | 6 | B | Active |
| Thurston, Springer, Miller, Herd & Titak, Inc. CRD: 8478 | IN | 3 | 36 | B | Active |