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 |
|---|---|---|---|---|---|
| American ELM Distribution Partners, LLC CRD: 153322 | NH | 0 | 3 | A | Active |
| Bigelow Capital Securities LLC CRD: 141161 | NH | 0 | 2 | A | Active |
| Foris Capital US LLC CRD: 282331 | NH | 0 | 3 | A | Active |
| Midas Securities Group, Inc. CRD: 14009 | NH | 0 | 2 | A | Active |
| Peloton Securities LLC CRD: 304178 | NH | 0 | 2 | A | Active |
| Perth Advisors LLC CRD: 152080 | NH | 0 | 2 | A | Active |
| Secure Planning, LLC CRD: 42179 | NH | 0 | 4 | A | Active |
| Westcap Markets, LLC CRD: 318970 | NH | 0 | 3 | A | Active |