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 |
|---|---|---|---|---|---|
| Allstate Financial Services, LLC CRD: 18272 | NE | 5 | 3,326 | B | Active |
| Axos Clearing LLC CRD: 117176 | NE | 14 | 4 | C | Active |
| Carson Group Brokerage, LLC CRD: 293448 | NE | 0 | 2 | A | Active |
| Haley Securities, Inc. CRD: 104124 | NE | 1 | 2 | B | Active |
| Mutual of Omaha Investor Services, Inc. CRD: 611 | NE | 6 | 249 | B | Active |
| Northern Lights Distributors, LLC CRD: 126159 | NE | 1 | 2 | B | Active |
| Teckmeyer Financial Services, L.L.C. CRD: 39000 | NE | 1 | 6 | B | Active |
| Weitz Securities, Inc. CRD: 17673 | NE | 1 | 2 | B | Active |