Broker-Dealer Firms
42 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 |
|---|---|---|---|---|---|
| &Partners CRD: 3767 | TN | 9 | 225 | B | Active |
| Advanced Strategies Broker Dealer LLC CRD: 164927 | TN | 0 | 2 | A | Active |
| Alliancebernstein Investments, Inc. CRD: 14549 | TN | 5 | 6 | C | Active |
| Alto Securities, LLC CRD: 318536 | TN | 0 | 2 | A | Active |
| Avondale Partners, LLC CRD: 46838 | TN | 1 | 2 | B | Active |
| B. Riley Wealth Management CRD: 2543 | TN | 22 | 69 | C | Active |
| Bailey & Co. Securities, LLC CRD: 302015 | TN | 0 | 5 | A | Active |
| Brentwood Capital Advisors LLC CRD: 118712 | TN | 1 | 2 | B | Active |
| Brown Associates, Inc. CRD: 5049 | TN | 2 | 2 | B | Active |
| Carty, Harding & Hearn, Inc. CRD: 7001 | TN | 20 | 10 | B | Active |
| Conduent Securities, LLC CRD: 135474 | TN | 1 | 2 | B | Active |
| Creekstone Capital CRD: 325715 | TN | 0 | 2 | A | Active |
| CW Securities, LLC CRD: 124496 | TN | 0 | 3 | A | Active |
| DCF, LLC CRD: 149102 | TN | 0 | 7 | A | Active |
| FHN Financial Securities Corp. CRD: 46346 | TN | 8 | 27 | C | Active |
| Fourbridges Securities, LLC CRD: 150806 | TN | 0 | 2 | A | Active |
| Gpwa, LLC CRD: 170171 | TN | 0 | 7 | A | Active |
| Harpeth Securities, LLC CRD: 109821 | TN | 1 | 2 | B | Active |
| Home Financial Services, Inc. CRD: 14716 | TN | 2 | 2 | B | Active |
| ICA, LLC CRD: 145235 | TN | 0 | 2 | A | Active |
| Jackson National Life Distributors LLC CRD: 40178 | TN | 2 | 5 | C | Active |
| Memphis Capital CRD: 8564 | TN | 0 | 2 | A | Active |
| Modern Private Equity Partners, LLC CRD: 326206 | TN | 0 | 2 | A | Active |
| OM Partners, LLC CRD: 323351 | TN | 0 | 1 | A | Active |
| P.J. Robb Variable, LLC CRD: 38339 | TN | 0 | 10 | A | Active |
| Pacific Gate Advisors, LLC CRD: 16589 | TN | 0 | 2 | A | Active |
| PNFP Capital Markets, Inc. CRD: 179528 | TN | 0 | 5 | A | Active |
| Praxess Securities, LLC CRD: 326036 | TN | 0 | 3 | A | Active |
| Rice Financial Products Company CRD: 21606 | TN | 6 | 8 | B | Active |
| Sanderlin Securities, LLC CRD: 104442 | TN | 0 | 2 | A | Active |
| Sanford C. Bernstein & Co., LLC CRD: 104474 | TN | 35 | 27 | D | Active |
| Silver OAK Securities, Incorporated CRD: 46947 | TN | 6 | 137 | B | Active |
| Silvermark Partners LLC CRD: 137898 | TN | 0 | 3 | A | Active |
| Southstate Securities Corp. CRD: 6950 | TN | 10 | 16 | B | Active |
| ST Invest LLC CRD: 297470 | TN | 2 | 2 | B | Active |
| Thompson Research, LLC CRD: 337495 | TN | 0 | 2 | A | Active |
| Thoroughbred Financial Services, LLC CRD: 47893 | TN | 1 | 8 | B | Active |
| Trade Capital Markets (TCM) North America LLC CRD: 316822 | TN | 0 | 2 | A | Active |
| Trustfirst CRD: 39057 | TN | 3 | 3 | B | Active |
| Utility Capital Partners, LLC CRD: 312158 | TN | 0 | 2 | A | Active |
| Velocityhealth Securities, Inc. CRD: 134616 | TN | 0 | 2 | A | Active |
| Wavecrest Securities LLC CRD: 160135 | TN | 0 | 3 | A | Active |