Broker-Dealer Firms
16 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 |
|---|---|---|---|---|---|
| 16 Points LLC CRD: 277033 | PR | 0 | 2 | A | Active |
| Colonnade Island LLC CRD: 322763 | PR | 0 | 2 | A | Active |
| Comcap Holdings LLC CRD: 283514 | PR | 0 | 2 | A | Active |
| Cuatro Capital Securities LLC CRD: 328082 | PR | 0 | 3 | A | Active |
| First Southern, LLC CRD: 282756 | PR | 4 | 5 | B | Active |
| Gamma Securities, LLC CRD: 298341 | PR | 0 | 2 | A | Active |
| IB Capital LLC CRD: 315886 | PR | 0 | 3 | A | Active |
| Joseph Capital, LLC CRD: 120414 | PR | 0 | 2 | A | Active |
| Mckenzie Securities LLC CRD: 310913 | PR | 1 | 3 | B | Active |
| Oriental Financial Services LLC CRD: 29753 | PR | 11 | 6 | B | Active |
| Palmas Securities CRD: 299935 | PR | 0 | 2 | A | Active |
| Pantek Securities LLC CRD: 302091 | PR | 0 | 3 | A | Active |
| Pariter Securities, LLC CRD: 127836 | PR | 6 | 2 | C | Active |
| Popular Securities, LLC CRD: 8096 | PR | 12 | 18 | B | Active |
| Robus Capital Partners LLC CRD: 282547 | PR | 0 | 2 | A | Active |
| Universal Financial Services Inc. CRD: 131558 | PR | 0 | 4 | A | Active |