Broker-Dealer Firms
80,028 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.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| S. Williams Capital, LLC CRD: 173204 | - | 0 | 2 | - | Unknown |
| S.A. Mason, LLC CRD: 151440 | - | 0 | 2 | - | Unknown |
| S.A.A.K. Advisors CRD: 165815 | - | 0 | 0 | - | Unknown |
| S.A.C. Capital Advisors, L.P. CRD: 161111 | - | 0 | 0 | - | Unknown |
| S.A.F.E. Management LLC CRD: 289102 | - | 0 | 0 | - | Unknown |
| S.A.F.E. Management LLC CRD: 141093 | - | 0 | 0 | - | Unknown |
| S.A.G Advisors, LLC CRD: 284524 | - | 0 | 0 | - | Unknown |
| S.B. Tanger & Co., Inc. CRD: 13904 | - | 0 | 0 | A | INACTIVE |
| S.B. Value Partners, L.P. CRD: 139162 | - | 0 | 3 | - | Unknown |
| S.B.S. Financial Group, Inc. CRD: 29879 | - | 0 | 0 | A | INACTIVE |
| S.C. Financial Services, Inc. CRD: 127012 | - | 0 | 0 | - | Unknown |
| S.C. Investments, Inc. CRD: 13538 | - | 0 | 0 | A | INACTIVE |
| S.C. Parker & Co., Inc. CRD: 734 | - | 6 | 0 | C | INACTIVE |
| S.C. Thomas & Associates, CPA, LLC CRD: 121666 | - | 0 | 1 | - | Unknown |
| S.C. Trading, L.L.C. CRD: 45942 | - | 0 | 0 | A | INACTIVE |
| S.E. Thorn & Co. CRD: 113754 | - | 0 | 1 | - | Unknown |
| S.E.E.D. Planning Group, LLC CRD: 188521 | - | 0 | 11 | - | Unknown |
| S.F. Ehrlich Associates, Inc. CRD: 121356 | - | 0 | 1 | - | Unknown |
| S.G. Long & Company CRD: 47511 | MT | 2 | 5 | B | Active |
| S.G. Martin Securities LLC CRD: 46908 | - | 6 | 0 | C | INACTIVE |
| S.G. Marx & Associates, Inc. CRD: 31557 | - | 0 | 0 | A | INACTIVE |
| S.G. Warburg & Co. Inc. CRD: 1483 | - | 0 | 0 | A | INACTIVE |
| S.G. Warburg OTC USA, Inc. CRD: 35772 | - | 0 | 0 | A | INACTIVE |
| S.G. Warburg Securities Inc. CRD: 14641 | - | 0 | 0 | A | INACTIVE |
| S.G. Warburg, Rowe & Pitman, Akroyd Securities Inc… CRD: 14693 | - | 0 | 0 | A | INACTIVE |
| S.H. Capital Management Corp. CRD: 145239 | - | 0 | 1 | - | Unknown |
| S.J.G. Securities, Inc. CRD: 32759 | - | 0 | 0 | A | INACTIVE |
| S.K. Investments CRD: 38037 | - | 0 | 0 | A | INACTIVE |
| S.L. Grant Securities, Inc. CRD: 10868 | - | 0 | 0 | A | INACTIVE |
| S.L. Reed & Company CRD: 40744 | CA | 1 | 2 | B | Active |
| S.M.H. Partners, Inc. CRD: 16716 | - | 0 | 0 | A | INACTIVE |
| S.MART Advising Inc CRD: 310330 | - | 0 | 1 | - | Unknown |
| S.N. Phelps & Co. CRD: 18341 | - | 0 | 0 | A | INACTIVE |
| S.P. Parkin & Co CRD: 116161 | - | 0 | 2 | - | Unknown |
| S.P.I. Financial, Inc. CRD: 14183 | - | 0 | 0 | A | INACTIVE |
| S.R. Weltz, JR. & Company, L.P. CRD: 4266 | - | 0 | 0 | A | INACTIVE |
| S.S.R. Equity Corp. CRD: 23980 | - | 0 | 0 | A | INACTIVE |
| S.T.M. Options, Inc. CRD: 38316 | - | 0 | 0 | A | INACTIVE |
| S.W. Bach & Company CRD: 43522 | - | 4 | 0 | C | INACTIVE |
| S.W. Childs Management Corporation CRD: 1452 | - | 8 | 0 | D | INACTIVE |
| S.W. Mitchell Capital LLP CRD: 163494 | - | 0 | 0 | - | Unknown |
| S12 Group LLC CRD: 333997 | - | 0 | 2 | - | Unknown |
| S16 VC CRD: 327582 | - | 0 | 1 | - | Unknown |
| S2 Fund Manager, LLC CRD: 323759 | - | 0 | 1 | - | Unknown |
| S2 Quantitative Asset Management, LLC CRD: 298393 | - | 0 | 0 | - | Unknown |
| S20 Capital, LLC CRD: 292022 | - | 0 | 4 | - | Unknown |
| S28 Capital LLC CRD: 281047 | - | 0 | 1 | - | Unknown |
| S2F Capital Management CRD: 314582 | - | 0 | 1 | - | Unknown |
| S2G CRD: 330236 | - | 0 | 0 | - | Unknown |
| S2G Investments, LLC CRD: 330022 | - | 0 | 1 | - | Unknown |