Broker-Dealer Firms
15 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| &PARTNERS CRD: 3767 | TN | 9 | 1 | F | Active |
| ALTO SECURITIES, LLC CRD: 318536 | TN | 0 | 1 | A | Active |
| CARTY, HARDING & HEARN, INC. CRD: 7001 | TN | 20 | 1 | F | Active |
| CREEKSTONE CAPITAL CRD: 325715 | TN | 0 | 1 | A | Active |
| CW SECURITIES, LLC CRD: 124496 | TN | 0 | 1 | A | Active |
| DCF, LLC CRD: 149102 | TN | 0 | 1 | A | Active |
| FHN FINANCIAL SECURITIES CORP. CRD: 46346 | TN | 8 | 1 | F | Active |
| GPWA, LLC CRD: 170171 | TN | 0 | 1 | A | Active |
| ICA, LLC CRD: 145235 | TN | 0 | 1 | A | Active |
| OM PARTNERS, LLC CRD: 323351 | TN | 0 | 1 | A | Active |
| SANDERLIN SECURITIES, LLC CRD: 104442 | TN | 0 | 1 | A | Active |
| SILVER OAK SECURITIES, INCORPORATED CRD: 46947 | TN | 6 | 1 | F | Active |
| SOUTHSTATE SECURITIES CORP. CRD: 6950 | TN | 10 | 1 | F | Active |
| ST INVEST LLC CRD: 297470 | TN | 2 | 1 | F | Active |
| TRUSTFIRST CRD: 39057 | TN | 3 | 1 | F | Active |