Broker-Dealer Firms
8 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 |
|---|---|---|---|---|---|
| Churchill Financial, LLC CRD: 39462 | KY | 1 | 2 | B | Active |
| Dupree & Company, Inc. CRD: 1697 | KY | 2 | 3 | B | Active |
| First Kentucky Securities Corporation CRD: 7524 | KY | 13 | 5 | C | Active |
| Johnstone Brokerage Services, LLC CRD: 301394 | KY | 0 | 2 | A | Active |
| Lemley, Yarling & Co. CRD: 18234 | KY | 2 | 2 | B | Active |
| Nancy Barron & Associates, Inc. CRD: 30201 | KY | 1 | 2 | B | Active |
| Private Client Services, LLC CRD: 120222 | KY | 1 | 276 | B | Active |
| Retireone Investment Services, LLC CRD: 269923 | KY | 0 | 5 | A | Active |