Massachusetts

Broker-dealer firm disciplinary records from FINRA BrokerCheck

36
Total Firms
36
Active Firms
36
Total Advisors
120
Total Disclosures

Grade Distribution

A
24
firms
B
0
firms
C
0
firms
D
0
firms
F
12
firms

Firms by Disclosure Count

Firm Disclosures Advisors Grade Status
COMMONWEALTH FINANCIAL NETWORK 45 1 F Active
MOORS & CABOT, INC. 36 1 F Active
SANTANDER SECURITIES LLC 19 1 F Active
LEERINK PARTNERS LLC 6 1 F Active
NOLAN SECURITIES CORP. 4 1 F Active
GARRETT NAGLE & CO., INC. 3 1 F Active
BHA SELECT NETWORK, LLC 2 1 F Active
A.G. QUINTAL INVESTMENT COMPANY INC. 1 1 F Active
AGC PARTNERS 1 1 F Active
CAPSTONE PARTNERS 1 1 F Active
SENTINEL SECURITIES, LLC. 1 1 F Active
SS&C MARKET SERVICES, LLC 1 1 F Active
AERIS PARTNERS LLC 0 1 A Active
ALANTRA, LLC 0 1 A Active
BACK BAY LIFE SCIENCE ADVISORY, LLC 0 1 A Active
BFC CAPITAL LLC 0 1 A Active
BML SECURITIES LLC 0 1 A Active
BOWEN, INC. 0 1 A Active
CBC SECURITIES, INC. 0 1 A Active
CCA CAPITAL LLC 0 1 A Active
CURTIS POINT CAPITAL 0 1 A Active
DUNN RUSH & CO. LLC 0 1 A Active
FIDELITY PRIME FINANCING 0 1 A Active
KAUFMAN & COMPANY, LLC 0 1 A Active
LEVEL MARKETS, LLC 0 1 A Active
MONUMENT GROUP, INC. 0 1 A Active
MORGAN PARTNERS LLC 0 1 A Active
N.E. PRIVATE CLIENT, LTD 0 1 A Active
OUTCOME CAPITAL, LLC 0 1 A Active
P G BOOLE, LLC 0 1 A Active
POWDER POINT FINANCIAL LLC 0 1 A Active
RACE ROCK CAPITAL LLC 0 1 A Active
SHASTA PARTNERS, LLC 0 1 A Active
SILVERWOOD PARTNERS 0 1 A Active
THE NEW PENFACS INC. 0 1 A Active
WFS, LLC 0 1 A Active

Inside Massachusetts's Broker-Dealer Landscape

Massachusetts is home to 36 broker-dealer firms in FINRA's public register, of which 36 (100.0%) are currently marked ACTIVE. Those firms employ 36 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.

The state's aggregate disciplinary footprint totals 120 disclosures on BrokerCheck, averaging 3.3 per firm. Grade distribution across Massachusetts's broker-dealers: 24 graded A, 0 graded B, 0 graded C, 0 graded D, and 12 graded F. That means 66.7% of graded firms hold an A and 33.3% 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 Massachusetts 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 Massachusetts advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

All Massachusetts Firms → All States →

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

Related

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