Broker-Dealer Firms
21 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 |
|---|---|---|---|---|---|
| BFY Securities, LLC CRD: 187514 | ME | 0 | 2 | A | Active |
| Creatis Capital LLC CRD: 131986 | ME | 1 | 2 | B | Active |
| Distribution Services, LLC CRD: 25938 | ME | 0 | 23 | A | Active |
| Foreside Distribution Services, L.P. CRD: 15634 | ME | 2 | 12 | B | Active |
| Foreside Financial Services, LLC CRD: 148477 | ME | 0 | 79 | A | Active |
| Foreside Fund Services, LLC CRD: 46106 | ME | 0 | 248 | A | Active |
| Foreside Funds Distributors LLC CRD: 31334 | ME | 0 | 28 | A | Active |
| Foreside Global Services, LLC CRD: 147382 | ME | 0 | 17 | A | Active |
| Funds Distributor, LLC CRD: 7174 | ME | 2 | 23 | B | Active |
| Imst Distributors, LLC CRD: 130745 | ME | 0 | 29 | A | Active |
| M.J. Grossnickle, LLC CRD: 313071 | ME | 0 | 1 | A | Active |
| Maine Securities Corporation CRD: 16976 | ME | 3 | 4 | B | Active |
| MGI Funds Distributors, LLC CRD: 35682 | ME | 0 | 47 | A | Active |
| Northern Funds Distributors, LLC CRD: 45943 | ME | 0 | 9 | A | Active |
| Orbis Investments (U.S.), LLC CRD: 172663 | ME | 0 | 6 | A | Active |
| Parnassus Funds Distributor, LLC CRD: 15883 | ME | 1 | 13 | B | Active |
| Perpetual Americas Funds Distributors, LLC CRD: 143809 | ME | 0 | 14 | A | Active |
| Quasar Distributors, LLC CRD: 103848 | ME | 0 | 68 | A | Active |
| Richard Brothers Securities CRD: 105285 | ME | 0 | 2 | A | Active |
| Smead Funds Distributors, LLC CRD: 173734 | ME | 0 | 8 | A | Active |
| Sterling Capital Distributors, LLC CRD: 103934 | ME | 0 | 23 | A | Active |