Florida

Broker-dealer firm disciplinary records from FINRA BrokerCheck

92
Total Firms
92
Active Firms
92
Total Advisors
164
Total Disclosures

Grade Distribution

A
60
firms
B
0
firms
C
0
firms
D
0
firms
F
32
firms

Firms by Disclosure Count

Firm Disclosures Advisors Grade Status
GTS SECURITIES LLC 38 1 F Active
SANCTUARY SECURITIES, INC. 31 1 F Active
FMSBONDS, INC. 13 1 F Active
BULLTICK, LLC 11 1 F Active
MONEY CONCEPTS CAPITAL CORP 11 1 F Active
CREAND SECURITIES 7 1 F Active
CARNES CAPITAL CORPORATION 5 1 F Active
DMK ADVISOR GROUP, INC. 5 1 F Active
ACP SECURITIES, LLC 4 1 F Active
R.M. STARK & CO., INC. 4 1 F Active
VECTORGLOBAL WMG 4 1 F Active
INVEX, LLC. 3 1 F Active
TRADE-PMR INC. 3 1 F Active
FIRST LIBERTIES FINANCIAL 2 1 F Active
GWN SECURITIES INC. 2 1 F Active
I-BANKERS SECURITIES, INC. 2 1 F Active
PLP CAPITAL 2 1 F Active
UNITED CAPITAL MARKETS, INC. 2 1 F Active
VSI SECURITIES, INC. 2 1 F Active
AAG CAPITAL, INC 1 1 F Active
AMERANT INVESTMENTS, INC. 1 1 F Active
BANCO DO BRASIL SECURITIES LLC 1 1 F Active
BIRKELBACH & CO. 1 1 F Active
CNL SECURITIES CORP. 1 1 F Active
COBALT CAPITAL, INC. 1 1 F Active
FINANTIA USA INC. 1 1 F Active
INSPEREX LLC 1 1 F Active
INTE SECURITIES LLC 1 1 F Active
LAMPOST CAPITAL, L.C. 1 1 F Active
MARIVA CAPITAL MARKETS, LLC 1 1 F Active
OCP CAPITAL, LLC 1 1 F Active
QUANTRIVER FINANCIAL, LLC 1 1 F Active
AC SUNSHINE SECURITIES LLC 0 1 A Active
AGM SECURITIES LLC 0 1 A Active
ANTARCTICA ADVISORS, LLC 0 1 A Active
ARIA CAPITAL ADVISORS, LLC 0 1 A Active
AURUS ADVISORS, INC. 0 1 A Active
AVM, L.P. 0 1 A Active
BALANZ CAPITAL USA LLC 0 1 A Active
BCI SECURITIES, INC. 0 1 A Active
BGV SECURITIES 0 1 A Active
BHS FINANCIAL, LLC 0 1 A Active
BLUE OCEAN ATS 0 1 A Active
CADZ SECURITIES INC 0 1 A Active
CAPITAL CONNECT, LLC 0 1 A Active
CEA ATLANTIC ADVISORS, LLC 0 1 A Active
CGIS SECURITIES LLC 0 1 A Active
CHILIAN PARTNERS, L.P. 0 1 A Active
CITADEL CLEARING LLC 0 1 A Active
DAM CAPITAL (USA) INC. 0 1 A Active

Inside Florida's Broker-Dealer Landscape

Florida is home to 92 broker-dealer firms in FINRA's public register, of which 92 (100.0%) are currently marked ACTIVE. Those firms employ 92 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.

The state's aggregate disciplinary footprint totals 164 disclosures on BrokerCheck, averaging 1.8 per firm. Grade distribution across Florida's broker-dealers: 60 graded A, 0 graded B, 0 graded C, 0 graded D, and 32 graded F. That means 65.2% of graded firms hold an A and 34.8% 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.

All Florida Firms → All States →

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

Related

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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