Georgia

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

Georgia at a glance

As of July 2026, Georgia registers 58 broker-dealer firms on FINRA BrokerCheck - 38 carry a clean record and 150 disclosures are on file statewide.

58
registered firms
38
with a clean record (Grade A)
150
total disclosures statewide
2.6
disclosures per firm (avg)
58
Registered Firms
38
Clean Record (Grade A)
150
Total Disclosures
2.6
Avg Disclosures / Firm

How Georgia 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, Georgia is #10 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 #12 of 33. The two ranks are broadly in line with each other, this state's disciplinary profile scales with its firm population about as expected, neither notably better nor worse than its size would suggest.

Grade Distribution

How Georgia's 58 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (38)38 firmsB, low (17)17 firmsC, typical (1)1 firmD, elevated (2)2 firmsF, heaviest (0)0 firms
Grade breakdown of 58 graded firms headquartered in Georgia

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 Truist Investment Services, Inc. Atlanta 28 2,629 B
2 PFS Investments Inc. Duluth 24 5,538 B
3 Truist Securities, Inc. Atlanta 23 25 C
4 Smith, Brown & Groover, Inc. Macon 17 3 D
5 First Commonwealth Securities Corporation Atlanta 12 1 D
6 Synovus Securities, Inc. Columbus 12 103 B
7 Cape Securities Inc. Mcdonough 5 9 B
8 Tradepro Securities, LLC. Lawrenceville 5 4 B
9 Carter, Terry & Company, Inc. Atlanta 4 11 B
10 Security Capital Brokerage, Inc. Atlanta 4 2 B
11 U.S. Brokerage, Inc. Alpharetta 3 7 B
12 Arkadios Capital Atlanta 2 89 B
13 DAI Securities, LLC Atlanta 2 39 B
14 Enerecap Partners, LLC Atlanta 2 2 B
15 Register Financial Associates, Inc. Atlanta 2 2 B
16 Metric Financial, LLC Atlanta 1 5 B
17 Redrock Trading Partners, LLC Augusta 1 2 B
18 Regions Securities LLC Atlanta 1 8 B
19 THE Strategic Financial Alliance, Inc. Atlanta 1 66 B
20 Wall Street Capital Corporation Mcdonough 1 2 B
21 Allen, Mooney & Barnes Brokerage Services, LLC Thomasville 0 5 A
22 American Global Wealth Management, Inc. Mcdonough 0 17 A
23 Arkap Markets, LLC Atlanta 0 4 A
24 Brookwood Associates, L.L.C. Atlanta 0 2 A
25 BSG Securities, LLC Atlanta 0 2 A
26 Cannon Securities, Inc. Athens 0 2 A
27 Caymus Securities LLC Atlanta 0 3 A
28 Croft & Bender, LP Atlanta 0 2 A
29 Executive Services Securities, LLC Atlanta 0 3 A
30 Fifth Wall Securities, LP Atlanta 0 2 A
31 Genesis Capital, LLC Atlanta 0 2 A
32 H & L Equities, LLC Atlanta 0 2 A
33 Hedge PRO Kennesaw 0 2 A
34 High Hill Securities, LLC Greensboro 0 2 A
35 Intellivest Securities, Inc. Riverdale 0 3 A
36 Katama Securities LLC Alpharetta 0 3 A
37 Kindling MBD LLC Chamblee 0 1 A
38 Kurt Salmon Capital Advisors, LLC Atlanta 0 2 A
39 Mazzone & Associates, LLC Atlanta 0 2 A
40 Mensura Securities, LLC Atlanta 0 2 A
41 Mezzo, Inc. Atlanta 0 2 A
42 MFG Securities, LLC Alpharetta 0 3 A
43 Nextgen Capital Markets, LLC Atlanta 0 2 A
44 Nortlov Securities LLC Mcdonough 0 2 A
45 Omega Point Securities LLC Atlanta 0 2 A
46 P2 Corporate Finance, LLC Atlanta 0 2 A
47 Peachcap Securities, Inc. Atlanta 0 6 A
48 Peachtree PC Investors, LLC Atlanta 0 4 A
49 Primerica Brokerage Services, Inc. Duluth 0 2 A
50 Reagan Securities, Inc. Atlanta 0 2 A

Inside Georgia's Broker-Dealer Landscape

Georgia has 58 actively registered broker-dealer firms in FINRA's public register, of which 38 (65.5%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 150 disclosures on BrokerCheck, averaging 2.6 per firm. Grade distribution across Georgia's broker-dealers: 38 graded A, 17 graded B, 1 graded C, 2 graded D, and 0 graded F. That means 65.5% of graded firms hold an A and 3.4% 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.

Frequently asked questions

How many broker-dealer firms are registered in Georgia?
Georgia has 58 actively registered broker-dealer firms on FINRA BrokerCheck, of which 38 (65.5%) hold a clean Grade-A record with no reportable disclosures.
Which Georgia broker-dealer has the most FINRA disclosures?
Among firms registered in Georgia, Truist Investment Services, Inc. carries the most reported BrokerCheck disclosures (28 across 2,629 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 Georgia 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.
All Georgia 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

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.