Broker-Dealer Firms
81 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 |
|---|---|---|---|---|---|
| 3ICO Securities LLC CRD: 173648 | PA | 0 | 3 | A | Active |
| Aberdeen Fund Distributors, LLC CRD: 146230 | PA | 0 | 5 | A | Active |
| Agile Trading Technologies, LLC CRD: 306627 | PA | 0 | 3 | A | Active |
| ALP Financial Group LLC CRD: 336389 | PA | 0 | 3 | A | Active |
| American Financial Associates, Inc. CRD: 29049 | PA | 1 | 2 | B | Active |
| Axcelus Financial Distribution Company CRD: 38383 | PA | 0 | 3 | A | Active |
| BA Securities, LLC CRD: 153489 | PA | 0 | 79 | A | Active |
| Bancroft Capital, LLC CRD: 290665 | PA | 0 | 8 | A | Active |
| Beaconsfield Financial Services, Inc. CRD: 14634 | PA | 1 | 12 | B | Active |
| Brinker Capital Securities, LLC CRD: 38123 | PA | 2 | 3 | B | Active |
| Bryant Park Capital Securities, Inc. CRD: 20433 | PA | 0 | 2 | A | Active |
| Centerline Capital Partners CRD: 334327 | PA | 0 | 2 | A | Active |
| Coventry Securities, LLC CRD: 150462 | PA | 0 | 2 | A | Active |
| Cresap, Inc. CRD: 25899 | PA | 3 | 6 | B | Active |
| D & D Securities, Inc. CRD: 31470 | PA | 16 | 1 | F | Active |
| Delaware Distributors, L.P. CRD: 14232 | PA | 3 | 7 | B | Active |
| Directed Services LLC CRD: 21675 | PA | 2 | 3 | B | Active |
| DSP Securities, LLC CRD: 298048 | PA | 0 | 2 | A | Active |
| E. E. Powell & Company Inc. CRD: 3063 | PA | 0 | 3 | A | Active |
| Envestnet Securities, Inc. CRD: 325803 | PA | 0 | 2 | A | Active |
| EQT Partners BD, LLC CRD: 322826 | PA | 0 | 5 | A | Active |
| Fairmount Partners LP CRD: 146668 | PA | 0 | 2 | A | Active |
| Falls Bridge Securities, LLC CRD: 299526 | PA | 0 | 2 | A | Active |
| Federated Securities Corp. CRD: 5009 | PA | 4 | 234 | B | Active |
| Fidx Markets LLC CRD: 322769 | PA | 0 | 2 | A | Active |
| FNB America Securities LLC CRD: 310408 | PA | 0 | 2 | A | Active |
| Fortune Financial Services, Inc. CRD: 42150 | PA | 4 | 190 | B | Active |
| Fund Investors, Inc. CRD: 20374 | PA | 1 | 2 | B | Active |
| Girard Investment Services, LLC CRD: 1834 | PA | 2 | 5 | B | Active |
| Global Execution Brokers, LP CRD: 126407 | PA | 32 | 1 | F | Active |
| Grant Williams L.P. CRD: 45961 | PA | 2 | 2 | B | Active |
| Griffin Financial Group, LLC CRD: 119004 | PA | 0 | 8 | A | Active |
| Hamilton Lane Securities LLC CRD: 281510 | PA | 0 | 2 | A | Active |
| Hartford Funds Distributors, LLC CRD: 45995 | PA | 4 | 4 | C | Active |
| HCC Securities Group, Inc CRD: 16861 | PA | 3 | 2 | B | Active |
| Heritage Financial Systems, LLC CRD: 133019 | PA | 1 | 2 | B | Active |
| Hornor, Townsend & Kent, LLC CRD: 4031 | PA | 17 | 307 | B | Active |
| Hunter Associates LLC CRD: 30177 | PA | 1 | 6 | B | Active |
| Invicta Capital LLC CRD: 288101 | PA | 0 | 6 | A | Active |
| INX Securities, LLC CRD: 162182 | PA | 0 | 2 | A | Active |
| J. Alden Associates, Inc. CRD: 40002 | PA | 4 | 9 | B | Active |
| J.A.K. Securities, Inc. CRD: 47866 | PA | 5 | 1 | C | Active |
| Janney Montgomery Scott LLC CRD: 463 | PA | 120 | 211 | C | Active |
| Keystone Trading Partners CRD: 33100 | PA | 6 | 1 | D | Active |
| Largo Trading, L.P. CRD: 136801 | PA | 2 | 1 | B | Active |
| Lincoln Financial Distributors, Inc. CRD: 145 | PA | 3 | 12 | C | Active |
| Lincoln Investment CRD: 519 | PA | 7 | 594 | B | Active |
| Marathon Trading Group LLC CRD: 165584 | PA | 2 | 2 | B | Active |
| Marks Baughan Securities LLC CRD: 132652 | PA | 0 | 2 | A | Active |
| MCG Securities LLC CRD: 163144 | PA | 0 | 2 | A | Active |
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