Broker-Dealer Firms
42 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 |
|---|---|---|---|---|---|
| Advanced Advisor Group, LLC CRD: 140393 | MN | 0 | 30 | A | Active |
| Aegis Investments, Inc. CRD: 16033 | MN | 2 | 2 | B | Active |
| AEI Securities, Inc. CRD: 6158 | MN | 4 | 2 | B | Active |
| Aethlon Capital, L.L.C CRD: 42241 | MN | 1 | 2 | B | Active |
| Allianz Life Financial Services, LLC CRD: 612 | MN | 1 | 2 | C | Active |
| American Enterprise Investment Services Inc. CRD: 26506 | MN | 10 | 11 | C | Active |
| Ameriprise Financial Services, LLC CRD: 6363 | MN | 184 | 15,626 | B | Active |
| CCS Transactions, LLC CRD: 149901 | MN | 0 | 5 | A | Active |
| Cedar Point Capital, LLC CRD: 145116 | MN | 1 | 2 | B | Active |
| Cherry Tree & Associates, LLC CRD: 115151 | MN | 0 | 2 | A | Active |
| Colliers Securities LLC CRD: 7477 | MN | 35 | 17 | B | Active |
| Craig-Hallum Capital Group LLC CRD: 121395 | MN | 4 | 6 | B | Active |
| Dorn & Co., Inc. CRD: 2950 | MN | 3 | 4 | B | Active |
| Feltl & Company CRD: 6905 | MN | 13 | 3 | C | Active |
| Finance of America Securities LLC CRD: 284464 | MN | 0 | 2 | A | Active |
| Gradient Securities, LLC CRD: 127701 | MN | 1 | 76 | B | Active |
| Hennepin Partners LLC CRD: 153034 | MN | 0 | 2 | A | Active |
| Kingfisher Securities, LLC CRD: 103771 | MN | 0 | 3 | A | Active |
| Lagoon Advisory Partners, LLC CRD: 308617 | MN | 0 | 3 | A | Active |
| Lake Street Capital Markets, LLC CRD: 164447 | MN | 0 | 3 | A | Active |
| Locorr Distributors, LLC CRD: 41782 | MN | 0 | 2 | A | Active |
| Martinson & Company, Ltd. CRD: 17409 | MN | 0 | 2 | A | Active |
| Northborne Securities Partners LLC CRD: 315017 | MN | 0 | 3 | A | Active |
| Northland Securities, Inc. CRD: 40258 | MN | 7 | 17 | C | Active |
| Ocean Park Securities, LLC CRD: 282608 | MN | 0 | 2 | A | Active |
| Piper Sandler & Co. CRD: 665 | MN | 192 | 80 | D | Active |
| Polar Investment Counsel, Inc. CRD: 42847 | MN | 2 | 2 | B | Active |
| Riversource Distributors, Inc. CRD: 139135 | MN | 3 | 11 | C | Active |
| Securian Financial Services, Inc. CRD: 15296 | MN | 13 | 2 | F | Active |
| SIA Securities Corporation CRD: 35403 | MN | 1 | 2 | B | Active |
| Silicon Prairie Capital Partners, LLC CRD: 226591 | MN | 0 | 2 | A | Active |
| T. E. Laird Securities, LLC CRD: 169734 | MN | 0 | 1 | A | Active |
| THE M & a Group LLC CRD: 144909 | MN | 0 | 3 | A | Active |
| THE OAK Ridge Financial Services Group, Inc. CRD: 42941 | MN | 10 | 11 | B | Active |
| Thrivent Distributors, LLC CRD: 179512 | MN | 0 | 2 | A | Active |
| Thrivent Investment Management Inc. CRD: 18387 | MN | 8 | 3,069 | B | Active |
| Tripletree, LLC CRD: 42820 | MN | 0 | 4 | A | Active |
| U.S. Bancorp Advisors, LLC CRD: 14455 | MN | 5 | 1,934 | B | Active |
| U.S. Bancorp Investments, Inc. CRD: 17868 | MN | 29 | 54 | C | Active |
| VAN Clemens & Co. Incorporated CRD: 6914 | MN | 8 | 10 | B | Active |
| Walleye Trading LLC CRD: 136196 | MN | 14 | 7 | B | Active |
| Wealth Enhancement Brokerage Services, LLC CRD: 130139 | MN | 0 | 147 | A | Active |