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 |
|---|---|---|---|---|---|
| S2K Financial LLC CRD: 248786 | FL | 0 | 3 | A | Active |
| S2O Capital Management CRD: 164533 | - | 0 | 1 | - | Unknown |
| S3 Capital Advisors LLC CRD: 322956 | - | 0 | 1 | - | Unknown |
| S3 Securities LLC CRD: 132674 | - | 0 | 0 | A | INACTIVE |
| S3, Inc CRD: 108401 | - | 0 | 3 | - | Unknown |
| SA Advisory LLC CRD: 134085 | - | 0 | 0 | - | Unknown |
| SA Advisory LLC CRD: 285327 | - | 0 | 0 | - | Unknown |
| SA Asset Management, Inc. CRD: 126096 | - | 0 | 1 | - | Unknown |
| SA Financial Solutions, LLC CRD: 157790 | - | 0 | 1 | - | Unknown |
| SA Investment Advisory CRD: 329454 | - | 0 | 1 | - | Unknown |
| SAA Ventures, LP CRD: 104432 | - | 0 | 0 | A | INACTIVE |
| Saaga CRD: 327015 | - | 0 | 1 | - | Unknown |
| Saak Capital, LLC CRD: 301063 | - | 0 | 0 | - | Unknown |
| Saama Capital US Advisors CRD: 165097 | - | 0 | 0 | - | Unknown |
| Saas Capital, LLC CRD: 298213 | - | 0 | 1 | - | Unknown |
| Saas Ventures, L.L.C. CRD: 289393 | - | 0 | 1 | - | Unknown |
| Saastr Fund Management, L.L.C. CRD: 284854 | - | 0 | 1 | - | Unknown |
| Saay Finance CRD: 323873 | - | 0 | 0 | - | Unknown |
| SAB Group Financial, P.A CRD: 147008 | - | 0 | 1 | - | Unknown |
| Saba Capital Management, L.P. CRD: 154362 | - | 0 | 1 | - | Unknown |
| Saba LT, LP CRD: 334114 | - | 0 | 1 | - | Unknown |
| Sabadell Securities USA, Inc. CRD: 148137 | FL | 0 | 2 | A | Active |
| Sabadoodle CRD: 307005 | - | 0 | 2 | - | Unknown |
| Sabal Investment Advisors, LLC CRD: 169572 | - | 0 | 1 | - | Unknown |
| Sabanera Private Equity Manager LLC CRD: 332175 | - | 0 | 1 | - | Unknown |
| Sabbia Faro Wealth Management LLC CRD: 306358 | - | 0 | 1 | - | Unknown |
| Sabbia, Michael a CRD: 33275 | - | 0 | 0 | A | INACTIVE |
| Sabby Management, LLC CRD: 162659 | - | 0 | 0 | - | Unknown |
| Sabel Management Inc. CRD: 29149 | - | 0 | 0 | A | INACTIVE |
| Saber and Shield Wealth Management, L.L.C CRD: 291176 | - | 0 | 1 | - | Unknown |
| Saber Asset Management CRD: 336626 | - | 0 | 1 | - | Unknown |
| Saber Capital Partners, LLC CRD: 126126 | - | 0 | 0 | A | INACTIVE |
| Saberi Investments, LLC CRD: 333727 | - | 0 | 1 | - | Unknown |
| Sabertooth Capital CRD: 339778 | - | 0 | 1 | - | Unknown |
| Sabi Fund I GP LLC CRD: 326511 | - | 0 | 0 | - | Unknown |
| Sabia Capital LLC CRD: 291493 | - | 0 | 0 | - | Unknown |
| Sabin Investment Management, Inc. CRD: 143629 | - | 0 | 3 | - | Unknown |
| Sabine Capital Partners, LLC CRD: 287527 | - | 0 | 1 | - | Unknown |
| Sabine Securities Co., Inc. CRD: 24039 | - | 0 | 0 | A | INACTIVE |
| Sabino Investment Management, L.L.C. CRD: 114024 | - | 0 | 1 | - | Unknown |
| Sable Capital LLC CRD: 113818 | MO | 2 | 2 | B | Active |
| Sable Capital Markets, Inc. CRD: 19440 | - | 0 | 0 | A | INACTIVE |
| Sabre Capital LLC CRD: 311245 | - | 0 | 0 | - | Unknown |
| Sabre II, LLC CRD: 103320 | - | 0 | 0 | A | INACTIVE |
| Sabretooth Advisors, LLC CRD: 285821 | - | 0 | 0 | - | Unknown |
| Sabrient Systems, LLC CRD: 171096 | - | 0 | 3 | - | Unknown |
| Sabrina Investments, Inc. CRD: 17497 | - | 0 | 0 | A | INACTIVE |
| Sacajawea & Company, LLC CRD: 109604 | - | 0 | 2 | - | Unknown |
| Sacco Securities Corporation CRD: 16420 | - | 0 | 0 | A | INACTIVE |
| Sachem Head Capital Management LP CRD: 167173 | - | 0 | 1 | - | Unknown |