Broker-Dealer Firms
15 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 |
|---|---|---|---|---|---|
| Ballast Rock Capital LLC CRD: 322170 | SC | 0 | 2 | A | Active |
| Charles Towne Securities, LLC CRD: 172278 | SC | 0 | 2 | A | Active |
| Dragonfly Capital Partners, LLC CRD: 125199 | SC | 0 | 3 | A | Active |
| Global Alliance Securities LLC CRD: 167164 | SC | 0 | 2 | A | Active |
| Global OAK Capital Markets LLC CRD: 125860 | SC | 1 | 2 | B | Active |
| Hollister Associates, LLC CRD: 173366 | SC | 0 | 19 | A | Active |
| LPL Enterprise, LLC CRD: 8733 | SC | 3 | 1,487 | B | Active |
| LPL Financial LLC CRD: 6413 | SC | 289 | 32,976 | B | Active |
| Palmetto Advisory Group, LLC CRD: 150270 | SC | 0 | 2 | A | Active |
| Partnercap Securities, LLC CRD: 107130 | SC | 1 | 2 | B | Active |
| Poinsett Securities, LLC CRD: 175443 | SC | 0 | 2 | A | Active |
| Polaris Private Placements, LLC CRD: 288104 | SC | 0 | 2 | A | Active |
| Sequence Financial Specialists LLC CRD: 132915 | SC | 1 | 4 | B | Active |
| Tower Principal Markets LLC CRD: 319604 | SC | 0 | 5 | A | Active |
| TRC Markets LLC CRD: 171272 | SC | 0 | 3 | A | Active |