Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| 1964 Global CRD: 139091 | NY | 1 | 2 | B | Active |
| 22V Securities LLC CRD: 327657 | NY | 0 | 3 | A | Active |
| 360 ONE Inc. CRD: 329291 | NY | 0 | 2 | A | Active |
| 5D Partners LLC CRD: 308304 | NY | 0 | 3 | A | Active |
| 777 Securities CRD: 288294 | NY | 0 | 2 | A | Active |
| A. P. Securities, Inc. CRD: 27041 | NY | 0 | 3 | A | Active |
| A5 Securities LLC CRD: 288410 | NY | 0 | 2 | A | Active |
| Abacus International Capital Corp. CRD: 32119 | NY | 0 | 2 | A | Active |
| ABG Sundal Collier Inc. CRD: 30605 | NY | 1 | 2 | B | Active |
| ABG, LLC CRD: 167190 | NY | 0 | 2 | A | Active |
| ABN Amro Capital Markets (USA) LLC CRD: 325235 | NY | 1 | 3 | B | Active |
| Absa Securities U.S. Inc. CRD: 299729 | NY | 0 | 2 | A | Active |
| Academy Securities, Inc. CRD: 17433 | NY | 1 | 9 | B | Active |
| Acceptus Capital Corp. CRD: 282755 | NY | 0 | 2 | A | Active |
| Accrued Equities Inc. CRD: 13452 | NY | 1 | 3 | B | Active |
| Achelous Partners, LLC CRD: 123380 | NY | 0 | 2 | A | Active |
| ACI Capital Markets, LLC CRD: 338859 | NY | 0 | 3 | A | Active |
| Acrisure RE Corporate Advisory & Solutions, LLC CRD: 326494 | NY | 0 | 3 | A | Active |
| Adelphi Stock Brokers CRD: 309048 | NY | 0 | 3 | A | Active |
| Admiral Securities LLC CRD: 324098 | NY | 0 | 3 | A | Active |
| Adventix Global Markets LLC CRD: 170640 | NY | 0 | 2 | A | Active |
| AEC Transaction Services LLC CRD: 327839 | NY | 0 | 4 | A | Active |
| Aegis Capital Corp. CRD: 15007 | NY | 45 | 72 | C | Active |
| AFW Associates LLC CRD: 289429 | NY | 0 | 2 | A | Active |
| Aime Capital Markets LLC CRD: 323458 | NY | 0 | 2 | A | Active |
| Akin BAY Company LLC CRD: 29493 | NY | 1 | 2 | B | Active |
| Allen & Company LLC CRD: 1042 | NY | 14 | 2 | D | Active |
| Allied Millennial Partners, LLC CRD: 16569 | NY | 6 | 4 | B | Active |
| Alpaca Securities LLC CRD: 288202 | NY | 2 | 9 | B | Active |
| ALT Fund Distributors LLC CRD: 146547 | NY | 0 | 2 | A | Active |
| American Veterans Group, PBC CRD: 291933 | NY | 0 | 3 | A | Active |
| Amerivet Securities, Inc. CRD: 34786 | NY | 7 | 5 | B | Active |
| Anchin Capital LLC CRD: 128402 | NY | 0 | 2 | A | Active |
| Ancoris Securities LLC CRD: 305279 | NY | 0 | 3 | A | Active |
| Andrew Garrett Inc. CRD: 29931 | NY | 15 | 22 | B | Active |
| Angel Pond Capital LLC CRD: 287761 | NY | 0 | 2 | A | Active |
| Ankura Capital Advisors, LLC CRD: 114155 | NY | 0 | 4 | A | Active |
| Anos Capital, LLC CRD: 284714 | NY | 0 | 7 | A | Active |
| Anthem Securities, LLC CRD: 333874 | NY | 0 | 2 | A | Active |
| Anubis Securities LLC CRD: 157642 | NY | 0 | 2 | A | Active |
| ANZ Securities, Inc. CRD: 36654 | NY | 3 | 2 | B | Active |
| Apexinvest Markets LLC CRD: 328777 | NY | 0 | 2 | A | Active |
| Apollo Global Securities, LLC CRD: 153502 | NY | 0 | 10 | A | Active |
| Arcadia Securities, LLC CRD: 44656 | NY | 2 | 5 | B | Active |
| Arcola Securities, Inc. CRD: 147952 | NY | 0 | 2 | A | Active |
| Arctic Securities LLC CRD: 174423 | NY | 0 | 2 | A | Active |
| Ardea Partners LP CRD: 283558 | NY | 0 | 3 | A | Active |
| ARK Global, LLC CRD: 172684 | NY | 0 | 2 | A | Active |
| Arkonis Capital LLC CRD: 147798 | NY | 0 | 2 | A | Active |
| Arrow Analytics Securities, LLC CRD: 334741 | NY | 0 | 1 | A | Active |
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