Broker-Dealer Firms
23 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 |
|---|---|---|---|---|---|
| Abacus Investments, Inc. CRD: 35127 | WI | 0 | 4 | A | Active |
| Artisan Partners Distributors LLC CRD: 45446 | WI | 0 | 16 | A | Active |
| Associated Investment Services, Inc. CRD: 1464 | WI | 4 | 45 | B | Active |
| Baker Tilly Capital, LLC CRD: 115333 | WI | 1 | 6 | B | Active |
| Bridgewood Advisors Inc. CRD: 158400 | WI | 0 | 2 | A | Active |
| Buttonwood Partners, Inc. CRD: 27108 | WI | 3 | 3 | B | Active |
| Carl M. Hennig, Inc. CRD: 140 | WI | 3 | 4 | B | Active |
| Coordinated Capital Securities, Inc. CRD: 14762 | WI | 5 | 24 | B | Active |
| Fimco Securities Group, Inc. CRD: 30343 | WI | 1 | 2 | B | Active |
| GM Securities, LLC CRD: 154657 | WI | 0 | 2 | A | Active |
| H. C. Denison Co. CRD: 1628 | WI | 3 | 3 | B | Active |
| Harbour Investments, Inc. CRD: 19258 | WI | 3 | 175 | B | Active |
| KCD Financial, Inc. CRD: 127473 | WI | 4 | 59 | B | Active |
| Landaas & Company CRD: 47487 | WI | 2 | 7 | B | Active |
| MFD Distributor, LLC CRD: 44930 | WI | 0 | 2 | A | Active |
| Northwestern Mutual Investment Services, LLC CRD: 2881 | WI | 11 | 1,077 | B | Active |
| Packerland Brokerage Services, Inc. CRD: 37031 | WI | 2 | 291 | B | Active |
| Robert W. Baird & Co. Incorporated CRD: 8158 | WI | 75 | 1,129 | B | Active |
| Sentry Equity Services, Inc. CRD: 5069 | WI | 2 | 2 | B | Active |
| Superior Financial Services,Inc. CRD: 104165 | WI | 1 | 15 | B | Active |
| Waypoint Securities, LLC CRD: 158622 | WI | 0 | 2 | A | Active |
| WEA Investment Services, Inc. CRD: 126907 | WI | 0 | 3 | A | Active |
| Willow Cove Investment Group, Inc. CRD: 107824 | WI | 1 | 3 | B | Active |