Florida

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

Florida at a glance

As of July 2026, Florida registers 251 broker-dealer firms on FINRA BrokerCheck - 152 carry a clean record and 1,152 disclosures are on file statewide.

251
registered firms: 152
with a clean record (Grade A): 1,152
total disclosures statewide: 4.6
disclosures per firm (avg)

251

Registered Firms

152

Clean Record (Grade A)

1,152

Total Disclosures

4.6

Avg Disclosures / Firm

How Florida ranks

A state's raw firm count and its disciplinary clean-record rate measure two different things, and they do not always move together. A jurisdiction can host a large number of broker-dealer firms simply because it is a major financial hub, while a smaller state with far fewer registered firms can post a cleaner disciplinary record in relative terms, or vice versa. Comparing both rankings side by side, rather than looking at either figure in isolation, gives a fuller picture of what is actually happening on the ground in a given state.

By firm count, Florida is #3 of 56 states and territories. By clean-record rate (Grade A share, among the 33 states with at least 10 registered firms, a floor that keeps a state with only a handful of firms from swinging to an extreme rate on a tiny sample), it ranks #15 of 33. These ranks diverge notably -- a larger firm footprint here does not translate into a proportionally cleaner record. Neither ranking implies wrongdoing on its own; always review an individual firm's own size-normalized grade before drawing a conclusion about it specifically.

Grade Distribution

How Florida's 251 graded broker-dealers split across the size-normalized A-F safety scale.

Grade breakdown of 251 graded firms headquartered in Florida

Firms by Disclosure Count

#	Firm	Disclosures	Offices	Grade
1	Raymond James & Associates, Inc. St. Petersburg	253	3,107	C
2	Raymond James Financial Services, Inc. St. Petersburg	204	3,736	B
3	Citadel Securities LLC Miami	76	7	D
4	Stonex Financial Inc. Winter Park	76	28	D
5	Robinhood Financial, LLC Lake Mary	65	29	D
6	GTS Securities LLC Miami	38	7	D
7	Newbridge Securities Corporation Boca Raton	37	34	B
8	Tradestation Securities, Inc. Plantation	33	22	B
9	Sanctuary Securities, Inc. Miami	30	88	C
10	Noble Capital Markets, Inc. Boca Raton	20	5	C
11	Calton & Associates, Inc. Tampa	19	205	B
12	Viewtrade Securities, Inc. Boca Raton	19	5	C
13	Dawson James Securities, Inc. Boca Raton	16	2	D
14	Fmsbonds, Inc. Boca Raton	13	6	C
15	Bulltick, LLC Miami	11	3	C
16	Intercoastal Capital Markets, Inc. Boca Raton	11	4	C
17	Money Concepts Capital Corp Palm Beach Gardens	11	378	B
18	1ST Discount Brokerage, Inc. Lake Worth	10	10	B
19	G. a. Repple & Company Casselberry	10	35	B
20	International Assets Advisory, LLC Orlando	10	88	B
21	Kovack Securities Inc. Ft. Lauderdale	10	228	B
22	Shearson Financial Services, LLC Boca Raton	8	6	B
23	Creand Securities Miami	7	2	C
24	Statetrust Investments Inc. Boca Raton	7	2	C
25	EFG Capital International Miami	6	2	C
26	Carnes Capital Corporation Naples	5	2	C
27	Credicorp Capital LLC Miami	5	2	C
28	DMK Advisor Group, Inc. Lutz	5	25	B
29	Guzman & Company Coral Gables	5	5	B
30	Rainmaker Securities, LLC Coral Gables	5	7	B
31	Robinhood Securities, LLC Lake Mary	5	14	C
32	Tradelink Securities, LLC Miami	5	3	B
33	ACP Securities, LLC Miami	4	6	B
34	Portfolio Resources Group, Inc. Coral Gables	4	2	B
35	R.M. Stark & Co., Inc. Lake Worth Beach	4	6	B
36	Spencer Clarke LLC North Miami	4	2	B
37	Vectorglobal WMG Miami	4	6	B
38	Velox Clearing LLC Miami	4	2	B
39	Amuni Financial, Inc. St. Petersburg	3	5	B
40	Enclave Capital LLC Boca Raton	3	3	B
41	Holistic Brokerage, LLC Miami	3	2	B
42	Insigneo Securities, LLC Miami	3	15	B
43	Invex, LLC. Coral Gables	3	2	B
44	James I. Black & Company Lakeland	3	3	B
45	Stark Financial Industries LLC Lutz	3	3	B
46	Trade-PMR Inc. Clearwater	3	13	B
47	Akar Capital Management, Inc. Plantation	2	3	B
48	Austin Atlantic Capital Inc. Coral Gables	2	3	B
49	Avenue Securities LLC Miami	2	2	B
50	Benchmark Securities LLC Winter Park	2	2	B

Inside Florida's Broker-Dealer Landscape

Florida has 251 actively registered broker-dealer firms in FINRA's public register, of which 152 (60.6%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 1,152 disclosures on BrokerCheck, averaging 4.6 per firm. Grade distribution across Florida's broker-dealers: 152 graded A, 81 graded B, 13 graded C, 5 graded D, and 0 graded F. That means 60.6% of graded firms hold an A and 2.0% fall into the D or F bands.

Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations, large multistate firms headquartered in Florida will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Florida advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

Frequently asked questions

How many broker-dealer firms are registered in Florida?

Florida has 251 actively registered broker-dealer firms on FINRA BrokerCheck, of which 152 (60.6%) hold a clean Grade-A record with no reportable disclosures.

Which Florida broker-dealer has the most FINRA disclosures?

Among firms registered in Florida, Raymond James & Associates, Inc. carries the most reported BrokerCheck disclosures (253 across 3,107 branch offices). Disclosure totals reflect reported events, not proven violations, larger firms naturally carry more. Always review the specific records on FINRA BrokerCheck.

How are PlainAdvisorCheck safety grades calculated?

Grades are size-normalized: a firm's weighted disclosure load is divided by its branch-office footprint, then ranked within its size class. Firms with zero disclosures earn an A regardless of size. Grades are editorial signals, not FINRA ratings. See our methodology for the exact formula.

Is this official Florida broker data?

Yes. All firm records come from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD) - the official public registries for U.S. broker-dealers. PlainAdvisorCheck aggregates and size-normalizes them; the underlying records are public domain.

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Read our methodology - how this data is sourced, computed, and verified.

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Compiled by PlainAdvisorCheck Editorial, Financial Advisor Discipline Editorial Team

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on SEC/FINRA regulatory filing data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.