Broker-Dealer Firms

24 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.

14,984 (74.7%)

3,006 (15.0%)

1,078 (5.4%)

737 (3.7%)

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
Archer Distributors, LLC CRD: 158961	MD	0	3	A	Active
Bengur Bryan & Co., Inc. CRD: 36290	MD	0	2	A	Active
Broadoak Partners, LLC CRD: 143527	MD	0	3	A	Active
CGA Securities, LLC CRD: 32301	MD	0	2	A	Active
Chapin, Davis CRD: 28116	MD	13	18	B	Active
Enterprise Equities, Inc. CRD: 27394	MD	0	2	A	Active
Evergreen Advisors Capital, LLC CRD: 165072	MD	0	2	A	Active
First Craft Securities, LLC CRD: 159680	MD	0	2	A	Active
Founders Financial Securities LLC CRD: 137945	MD	1	74	B	Active
Global Brokerage Services, Inc. CRD: 37505	MD	1	9	B	Active
Harbor Investment Advisory, LLC CRD: 151085	MD	0	4	A	Active
Hasi Securities LLC CRD: 154669	MD	0	5	A	Active
International Money Management Group, Inc. CRD: 14367	MD	4	3	B	Active
Jacques Financial, LLC CRD: 104219	MD	0	2	A	Active
LGA Capital CRD: 282415	MD	0	2	A	Active
M&T Securities, Inc. CRD: 17358	MD	7	9	B	Active
NC Securities, LLC CRD: 141074	MD	0	2	A	Active
Profunds Distributors, Inc. CRD: 19541	MD	1	4	B	Active
SC&H Capital Corporation CRD: 148291	MD	0	2	A	Active
Shot Tower Securities LLC CRD: 169678	MD	0	2	A	Active
T. Rowe Price Investment Services, Inc. CRD: 8348	MD	4	39	C	Active
THE Baldwin Group Securities, LLC CRD: 312876	MD	0	2	A	Active
Ullico Investment Company, LLC CRD: 135195	MD	0	5	A	Active
XML Securities CRD: 145589	MD	7	9	B	Active

Compiled by PlainAdvisorCheck Editorial, Financial Advisor Discipline Editorial Team