Broker-Dealer Firms
11 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| AXOM PARTNERS LLC CRD: 328894 | UT | 0 | 1 | A | Active |
| BD|CORTINA CRD: 46284 | UT | 1 | 1 | F | Active |
| CREWE CAPITAL CRD: 152527 | UT | 0 | 1 | A | Active |
| DFPG INVESTMENTS, LLC CRD: 155576 | UT | 0 | 1 | A | Active |
| EDG CAPITAL LLC CRD: 326173 | UT | 0 | 1 | A | Active |
| LRB PUBLIC FINANCE ADVISORS, INC. CRD: 39119 | UT | 1 | 1 | F | Active |
| MHL INVESTMENTS CRD: 2535 | UT | 1 | 1 | F | Active |
| MORETON CAPITAL MARKETS, LLC CRD: 132643 | UT | 0 | 1 | A | Active |
| PREP SECURITIES, LLC CRD: 188522 | UT | 0 | 1 | A | Active |
| YUKI-CO, LLC CRD: 282236 | UT | 0 | 1 | A | Active |
| ZIONS DIRECT, INC. CRD: 17776 | UT | 7 | 1 | F | Active |