Texas

Broker-dealer firm disciplinary records from FINRA BrokerCheck

56
Total Firms
56
Active Firms
56
Total Advisors
455
Total Disclosures

Grade Distribution

A
31
firms
B
0
firms
C
0
firms
D
0
firms
F
25
firms

Firms by Disclosure Count

Firm Disclosures Advisors Grade Status
CHARLES SCHWAB & CO., INC. 314 1 F Active
APEX CLEARING CORPORATION 57 1 F Active
CAPIS 9 1 F Active
REEF SECURITIES, INC. 9 1 F Active
LEVEL FOUR FINANCIAL, LLC 8 1 F Active
GBM INTERNATIONAL, INC. 6 1 F Active
INVESCO CAPITAL MARKETS, INC. 6 1 F Active
SIGNAL SECURITIES, INC. 5 1 F Active
TZ CLEAR LLC 5 1 F Active
D.H. HILL SECURITIES, LLLP 4 1 F Active
CAPITAL HILL GROUP, INC. 3 1 F Active
INVESCO DISTRIBUTORS, INC. 3 1 F Active
M. E. ALLISON & CO., INC. 3 1 F Active
MDB CAPITAL 3 1 F Active
PH PARTNERS, LLC 3 1 F Active
TPEG SECURITIES, LLC 3 1 F Active
USCA SECURITIES LLC 3 1 F Active
LEO BROKERAGE, LLC 2 1 F Active
NOBLES & RICHARDS, INC. 2 1 F Active
SUNBELT SECURITIES, INC. 2 1 F Active
DOO FINANCIAL US, INC. 1 1 F Active
RCX CAPITAL GROUP, LLC 1 1 F Active
SP SECURITIES LLC 1 1 F Active
THE TIDAL GROUP, INC. 1 1 F Active
USP SECURITIES CORPORATION 1 1 F Active
ACC SECURITIES, LLC 0 1 A Active
ALL OPTIONS USA, LLC 0 1 A Active
BROWN AND BROWN SECURITIES, INC. 0 1 A Active
BULLISH BOB BAGLEY SECURITIES, INC. 0 1 A Active
BV SECURITIES, LLC 0 1 A Active
CESTA CAPITAL 0 1 A Active
CSP SECURITIES, LP 0 1 A Active
CV SECURITIES LLC 0 1 A Active
DCMB SECURITIES LLC 0 1 A Active
DFA SECURITIES LLC 0 1 A Active
FB SECURITIES, LLC 0 1 A Active
GENERATIONAL CAPITAL MARKETS INC. 0 1 A Active
GRB FINANCIAL LLC 0 1 A Active
GULFSTAR GROUP I, LTD. 0 1 A Active
HAND SECURITIES, INC 0 1 A Active
HGP SECURITIES, LLC 0 1 A Active
KWM SECURITIES LLC 0 1 A Active
LCT CAPITAL, LLC 0 1 A Active
LIDO SECURITIES, LLC 0 1 A Active
NAVIDAR GROUP LLC 0 1 A Active
PARTNERS FINANCE 0 1 A Active
PEP ADVISORY LLC 0 1 A Active
PETRIE PARTNERS SECURITIES, LLC 0 1 A Active
PPHB SECURITIES LP 0 1 A Active
QUANTLAB BROKERAGE, LLC 0 1 A Active

Inside Texas's Broker-Dealer Landscape

Texas is home to 56 broker-dealer firms in FINRA's public register, of which 56 (100.0%) are currently marked ACTIVE. Those firms employ 56 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.

The state's aggregate disciplinary footprint totals 455 disclosures on BrokerCheck, averaging 8.1 per firm. Grade distribution across Texas's broker-dealers: 31 graded A, 0 graded B, 0 graded C, 0 graded D, and 25 graded F. That means 55.4% of graded firms hold an A and 44.6% 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 Texas 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 Texas advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

All Texas 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