Georgia
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| PFS INVESTMENTS INC. | 26 | 1 | F | Active |
| SYNOVUS SECURITIES, INC. | 12 | 1 | F | Active |
| CAPE SECURITIES INC. | 3 | 1 | F | Active |
| U.S. BROKERAGE, INC. | 3 | 1 | F | Active |
| DAI SECURITIES, LLC | 2 | 1 | F | Active |
| BSG SECURITIES, LLC | 0 | 1 | A | Active |
| CROFT & BENDER, LP | 0 | 1 | A | Active |
| H & L EQUITIES, LLC | 0 | 1 | A | Active |
| HEDGE PRO | 0 | 1 | A | Active |
| HIGH HILL SECURITIES, LLC | 0 | 1 | A | Active |
| KINDLING MBD LLC | 0 | 1 | A | Active |
| MFG SECURITIES, LLC | 0 | 1 | A | Active |
| P2 CORPORATE FINANCE, LLC | 0 | 1 | A | Active |
| PEACHTREE PC INVESTORS, LLC | 0 | 1 | A | Active |
| TI SECURITIES, LLC | 0 | 1 | A | Active |
| TLG LENOX, LLC | 0 | 1 | A | Active |
| TRAILMARK INC. | 0 | 1 | A | Active |
| VRA PARTNERS, LLC | 0 | 1 | A | Active |
Inside Georgia's Broker-Dealer Landscape
Georgia is home to 18 broker-dealer firms in FINRA's public register, of which 18 (100.0%) are currently marked ACTIVE. Those firms employ 18 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 46 disclosures on BrokerCheck, averaging 2.6 per firm. Grade distribution across Georgia's broker-dealers: 13 graded A, 0 graded B, 0 graded C, 0 graded D, and 5 graded F. That means 72.2% of graded firms hold an A and 27.8% 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 Georgia 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 Georgia advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
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