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 |
|---|---|---|---|---|---|
| Sachem Hill LLC CRD: 174210 | - | 0 | 2 | - | Unknown |
| Sachem Hill, LLC CRD: 329004 | - | 0 | 0 | - | Unknown |
| Sachem Rock Wealth Management LLC CRD: 159424 | - | 0 | 0 | - | Unknown |
| Sachetta, LLC CRD: 145713 | - | 0 | 9 | - | Unknown |
| Sachi Financial Planning CRD: 324752 | - | 0 | 2 | - | Unknown |
| Sachs Brothers Investment CRD: 284806 | - | 0 | 0 | - | Unknown |
| Sachs Capital Partners, LLC CRD: 321106 | - | 0 | 1 | - | Unknown |
| Sachs Capital, LLC CRD: 166809 | - | 0 | 1 | - | Unknown |
| Sachs Financial Planning CRD: 129185 | - | 0 | 0 | - | Unknown |
| Sachs Investment Group CRD: 150377 | - | 0 | 0 | - | Unknown |
| Sackett Wealth Advisors, Inc. CRD: 289950 | - | 0 | 3 | - | Unknown |
| Sacks & Associates, LLC CRD: 174909 | - | 0 | 1 | - | Unknown |
| Sacks Investment Company, Inc. CRD: 16377 | - | 0 | 0 | A | INACTIVE |
| Sackville Bank Limited CRD: 170883 | - | 0 | 0 | - | Unknown |
| Saco River Financial Planning CRD: 173682 | - | 0 | 1 | - | Unknown |
| Sacred Heart Investments CRD: 125743 | - | 0 | 2 | - | Unknown |
| Sadara Ventures CRD: 163682 | - | 0 | 0 | - | Unknown |
| Saddle Point Management, L.P. CRD: 298487 | - | 0 | 0 | - | Unknown |
| Saddle Point Management, L.P. CRD: 329856 | - | 0 | 1 | - | Unknown |
| Saddle River Capital Management, LLC CRD: 128909 | - | 0 | 2 | - | Unknown |
| Saddle Road Partners, LLC CRD: 175020 | - | 0 | 0 | - | Unknown |
| Saddleback Asset Management CRD: 152631 | - | 0 | 0 | - | Unknown |
| Saddlebrook Investments, Inc. CRD: 13448 | - | 1 | 0 | B | INACTIVE |
| Saddock Wealth, LLC CRD: 161568 | - | 0 | 1 | - | Unknown |
| Sadoff Investment Management LLC CRD: 105160 | - | 0 | 0 | - | Unknown |
| Saecula Wealth LLC CRD: 339221 | - | 0 | 1 | - | Unknown |
| Saen Options USA Inc. CRD: 103752 | - | 1 | 0 | B | INACTIVE |
| Saez Asset Management, LLC CRD: 283662 | - | 0 | 0 | - | Unknown |
| SAF Advisors LLC CRD: 284283 | - | 0 | 1 | - | Unknown |
| SAF Financial Securities LLC CRD: 284938 | CT | 0 | 2 | A | Active |
| Safanad Inc. CRD: 170969 | - | 0 | 1 | - | Unknown |
| Safanad Industry Capital Internet Infrastructure M… CRD: 291959 | - | 0 | 1 | - | Unknown |
| Safar Partners LLC CRD: 305059 | - | 0 | 1 | - | Unknown |
| Safari Investment Club Inc. CRD: 25968 | - | 0 | 0 | A | INACTIVE |
| Safdie Investment Services Corp. CRD: 104199 | - | 1 | 0 | B | INACTIVE |
| Safe and Smart Money, LLC CRD: 173716 | - | 0 | 0 | - | Unknown |
| Safe BAY Retirement Advisors CRD: 156758 | - | 0 | 1 | - | Unknown |
| Safe Harbor Asset Management, Inc. CRD: 124787 | - | 0 | 2 | - | Unknown |
| Safe Harbor Assets CRD: 324397 | - | 0 | 1 | - | Unknown |
| Safe Harbor Capital Advisers, Inc. CRD: 289428 | - | 0 | 0 | - | Unknown |
| Safe Harbor Capital Partners CRD: 305314 | - | 0 | 1 | - | Unknown |
| Safe Harbor Family Capital, LLC CRD: 317547 | - | 0 | 1 | - | Unknown |
| Safe Harbor Fiduciary, LLC CRD: 169659 | - | 0 | 2 | - | Unknown |
| Safe Harbor Financial Advisors, LLC CRD: 171734 | - | 0 | 2 | - | Unknown |
| Safe Harbor Financial Planning & Investment Adviso… CRD: 151810 | - | 0 | 2 | - | Unknown |
| Safe Harbor Investment Advisors, LLC CRD: 145916 | - | 0 | 1 | - | Unknown |
| Safe Harbor Planning Corp. CRD: 14189 | - | 0 | 0 | A | INACTIVE |
| Safe Harbor Retirement Consultants, LLC CRD: 221515 | - | 0 | 0 | - | Unknown |
| Safe Harbor Retirement Planners CRD: 110803 | - | 0 | 3 | - | Unknown |
| Safe Harbor Securities, Inc. CRD: 27140 | - | 0 | 0 | A | INACTIVE |