Broker-Dealer Firms
39 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 |
|---|---|---|---|---|---|
| 1031 Securities Inc. CRD: 326590 | MI | 0 | 5 | A | Active |
| American Alternative Capital, LLC CRD: 309956 | MI | 0 | 4 | A | Active |
| Ansley Securities LLC CRD: 47710 | MI | 0 | 2 | A | Active |
| Aurora Securities CRD: 46147 | MI | 0 | 29 | A | Active |
| Burnham & Flower Financial, Inc. CRD: 114006 | MI | 0 | 2 | A | Active |
| Cascade Partners BD, LLC CRD: 148739 | MI | 0 | 3 | A | Active |
| Centennial Securities Company, Inc. CRD: 7763 | MI | 2 | 9 | B | Active |
| CIG Securities CRD: 129864 | MI | 0 | 2 | A | Active |
| Comerica Securities CRD: 17079 | MI | 16 | 8 | B | Active |
| Corecap Investments, LLC CRD: 37068 | MI | 9 | 43 | B | Active |
| Donnelly Penman & Partners CRD: 104448 | MI | 2 | 3 | B | Active |
| ELE Wealth Solutions, Inc. CRD: 38931 | MI | 0 | 10 | A | Active |
| GCG Securities, LLC CRD: 324243 | MI | 0 | 4 | A | Active |
| GLP Investment Services, LLC CRD: 25450 | MI | 3 | 13 | B | Active |
| Gregory J. Schwartz & Co., Inc. CRD: 7294 | MI | 1 | 4 | B | Active |
| Hantz Financial Services, Inc. CRD: 46047 | MI | 6 | 44 | B | Active |
| Hsip Securities, LLC CRD: 332851 | MI | 0 | 1 | A | Active |
| J.W. Korth & Company CRD: 26455 | MI | 7 | 5 | B | Active |
| Jack V. Butterfield Investment Company CRD: 3998 | MI | 2 | 3 | B | Active |
| JAG Trading L.L.C. CRD: 114061 | MI | 4 | 2 | B | Active |
| Koehler Financial, LLC CRD: 103420 | MI | 0 | 2 | A | Active |
| Krambo Corportion CRD: 6759 | MI | 0 | 2 | A | Active |
| MBX Clearing LLC CRD: 321223 | MI | 0 | 1 | A | Active |
| Multi-Bank Securities, Inc. CRD: 22098 | MI | 4 | 13 | B | Active |
| Northbridge Financial Services CRD: 25808 | MI | 2 | 2 | B | Active |
| ONE Amherst Partners, LLC CRD: 152359 | MI | 0 | 2 | A | Active |
| Paradigm Equities, Inc. CRD: 31990 | MI | 1 | 3 | B | Active |
| Parkland Securities, LLC CRD: 115368 | MI | 12 | 217 | B | Active |
| RAM Financial LLC CRD: 330235 | MI | 0 | 1 | A | Active |
| Redtail Capital Markets, LLC CRD: 169781 | MI | 0 | 3 | A | Active |
| Regulus Financial Group, LLC CRD: 150631 | MI | 5 | 71 | B | Active |
| Rehmann Financial Network, LLC CRD: 165027 | MI | 0 | 15 | A | Active |
| SRT Securities LLC CRD: 33725 | MI | 26 | 6 | C | Active |
| Stout Capital, LLC CRD: 127302 | MI | 0 | 5 | A | Active |
| THE Enterprise Securities Company CRD: 26598 | MI | 2 | 2 | B | Active |
| UHY Capital Group, LLC CRD: 117867 | MI | 0 | 2 | A | Active |
| USA Financial Securities LLC CRD: 103857 | MI | 4 | 138 | B | Active |
| Woodward Park Securities, LLC CRD: 329578 | MI | 0 | 2 | A | Active |
| WWF Securities, LLC CRD: 312763 | MI | 0 | 2 | A | Active |