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 |
|---|---|---|---|---|---|
| Sage Wealth Consulting, LLC CRD: 298912 | - | 0 | 1 | - | Unknown |
| Sage Wealth Planning CRD: 300747 | - | 0 | 3 | - | Unknown |
| Sage Wealth Solutions, LLC CRD: 335416 | - | 0 | 1 | - | Unknown |
| Sage, Rutty & Co., Inc. CRD: 3254 | NY | 7 | 4 | B | Active |
| Sagebroadview Wealth Management, LLC CRD: 126472 | - | 0 | 3 | - | Unknown |
| Sagebrush Wealth Partners CRD: 341168 | - | 0 | 1 | - | Unknown |
| Sagefield Capital LP CRD: 304053 | - | 0 | 0 | - | Unknown |
| Sagefield Investment Group LP CRD: 312019 | - | 0 | 1 | - | Unknown |
| Sageguard Financial Group, LLC CRD: 160266 | - | 0 | 5 | - | Unknown |
| Sageguard Wealth Management, Inc. CRD: 158748 | - | 0 | 0 | - | Unknown |
| Sagehall Management LP CRD: 314770 | - | 0 | 1 | - | Unknown |
| Sageinvest, Inc. CRD: 119401 | - | 0 | 0 | - | Unknown |
| Sagent Wealth Management CRD: 147890 | - | 0 | 1 | - | Unknown |
| Sageoak Financial, LLC CRD: 166927 | - | 0 | 2 | - | Unknown |
| Sagepointe Advisors LLC CRD: 288883 | - | 0 | 1 | - | Unknown |
| Sagepro Wealth Management CRD: 304384 | - | 0 | 1 | - | Unknown |
| Sagespring Wealth Partners CRD: 283515 | - | 0 | 70 | - | Unknown |
| Sagestat, LLC CRD: 299045 | - | 0 | 0 | - | Unknown |
| Sagestreet CRD: 289255 | - | 0 | 1 | - | Unknown |
| Sagetech Capital CRD: 332741 | - | 0 | 0 | - | Unknown |
| Sagetrader, LLC CRD: 137862 | NJ | 16 | 2 | D | Active |
| Sagevest Wealth Management CRD: 143562 | - | 0 | 3 | - | Unknown |
| Sageview Advisory Group, LLC CRD: 126777 | - | 0 | 102 | - | Unknown |
| Sageview Capital LP CRD: 159560 | - | 0 | 1 | - | Unknown |
| Sagewind Capital LLC CRD: 288855 | - | 0 | 1 | - | Unknown |
| Sagient Securities CRD: 42922 | - | 0 | 0 | A | INACTIVE |
| Sagil Capital CRD: 160550 | - | 0 | 0 | - | Unknown |
| Saginaw BAY Capital Management, LLC CRD: 149737 | - | 0 | 0 | - | Unknown |
| Sagittarii Fund LLC CRD: 282741 | - | 0 | 0 | - | Unknown |
| Sagol Advisors LLC CRD: 323239 | - | 0 | 0 | - | Unknown |
| Sagona Capital, Inc. CRD: 291790 | - | 0 | 1 | - | Unknown |
| Saguaro Advising CRD: 327265 | - | 0 | 0 | - | Unknown |
| Sagui, Gary Vinvent CRD: 39258 | - | 0 | 0 | A | INACTIVE |
| Sahana Capital Management LP CRD: 307187 | - | 0 | 0 | - | Unknown |
| Sahara Associates LLC CRD: 102880 | - | 0 | 0 | A | INACTIVE |
| Sahara Investment Group CRD: 341135 | - | 0 | 1 | - | Unknown |
| Sahni, Inc. CRD: 173759 | - | 0 | 1 | - | Unknown |
| SAI Capital Corp. CRD: 27436 | - | 0 | 0 | A | INACTIVE |
| SAI Securities Corporation CRD: 23729 | - | 0 | 0 | A | INACTIVE |
| Saif CRD: 163673 | - | 0 | 0 | - | Unknown |
| Saigon Capital Markets LLC CRD: 151036 | - | 0 | 0 | - | Unknown |
| Sail Advisors Limited CRD: 153840 | - | 0 | 0 | - | Unknown |
| Sail Loft Capital Management LLC CRD: 153143 | - | 0 | 2 | - | Unknown |
| Sail Venture Management LLC CRD: 163342 | - | 0 | 0 | - | Unknown |
| Sailer Wealth Management, LLC CRD: 281200 | - | 0 | 0 | - | Unknown |
| Saining Capital Management Company Limited CRD: 300864 | - | 0 | 0 | - | Unknown |
| Saint Anthony Securities, Inc. CRD: 3476 | - | 0 | 0 | A | INACTIVE |
| Saint Francis Capital CRD: 165376 | - | 0 | 4 | - | Unknown |
| Saint Joseph Advisors LLC CRD: 311463 | - | 0 | 1 | - | Unknown |
| Saint Louis Investment Advisors Inc CRD: 107101 | - | 0 | 1 | - | Unknown |