Broker-Dealer Firms
29 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 |
|---|---|---|---|---|---|
| American Funds & Trusts Incorporated CRD: 1066 | UT | 1 | 2 | B | Active |
| Axom Partners LLC CRD: 328894 | UT | 0 | 3 | A | Active |
| BD|Cortina CRD: 46284 | UT | 1 | 2 | B | Active |
| Brex Treasury LLC CRD: 299606 | UT | 1 | 2 | B | Active |
| Bruce a. Lefavi Securities, Inc. CRD: 10684 | UT | 2 | 2 | B | Active |
| Coinzoom Securities, LLC CRD: 167337 | UT | 0 | 2 | A | Active |
| Crewe Capital CRD: 152527 | UT | 0 | 4 | A | Active |
| Decheque Securities LLC CRD: 311020 | UT | 0 | 2 | A | Active |
| DFPG Investments, LLC CRD: 155576 | UT | 0 | 60 | A | Active |
| EDG Capital LLC CRD: 326173 | UT | 0 | 2 | A | Active |
| Gigatrade Brokerage, LLC CRD: 332100 | UT | 0 | 3 | A | Active |
| Harold Dance Investments CRD: 1582 | UT | 0 | 3 | A | Active |
| KPG Capital Partners, LLC CRD: 165392 | UT | 0 | 2 | A | Active |
| LRB Public Finance Advisors, Inc. CRD: 39119 | UT | 1 | 2 | B | Active |
| Meraki Global Advisors LLC CRD: 297930 | UT | 0 | 2 | A | Active |
| Methuselah Capital LLC CRD: 168752 | UT | 0 | 3 | A | Active |
| MHL Investments CRD: 2535 | UT | 1 | 4 | B | Active |
| Moreton Capital Markets, LLC CRD: 132643 | UT | 0 | 4 | A | Active |
| North Capital Agency Brokerage, LLC CRD: 306775 | UT | 0 | 1 | A | Active |
| North Capital Private Securities Corporation CRD: 154559 | UT | 1 | 8 | B | Active |
| Orchard Securities, LLC CRD: 133378 | UT | 0 | 5 | A | Active |
| Prep Securities, LLC CRD: 188522 | UT | 0 | 2 | A | Active |
| Ridgeview Capital, LLC CRD: 128375 | UT | 0 | 2 | A | Active |
| Rockdale Securities, LLC CRD: 169798 | UT | 0 | 2 | A | Active |
| Transitional Broker LLC CRD: 304313 | UT | 0 | 4 | A | Active |
| Trete Capital Markets, LLC CRD: 311773 | UT | 0 | 2 | A | Active |
| Wilson-Davis & Co., Inc. CRD: 3777 | UT | 58 | 2 | F | Active |
| Yuki-Co, LLC CRD: 282236 | UT | 0 | 3 | A | Active |
| Zions Direct, Inc. CRD: 17776 | UT | 7 | 5 | B | Active |