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 |
|---|---|---|---|---|---|
| Samba Partners LLC CRD: 277079 | - | 0 | 0 | - | Unknown |
| Samco Capital Markets, Inc. CRD: 136532 | TX | 0 | 8 | A | Active |
| Samco Financial Services, Inc. CRD: 30108 | - | 3 | 0 | C | INACTIVE |
| Samco Proprietary Trading, Inc. CRD: 329446 | - | 0 | 3 | - | Unknown |
| Samena Capital Hong Kong Limited CRD: 161673 | - | 0 | 0 | - | Unknown |
| Samet Financial Services, LLC CRD: 311362 | - | 0 | 0 | - | Unknown |
| Samex Capital Advisors CRD: 133446 | - | 0 | 0 | - | Unknown |
| Sami Brokerage LLC CRD: 18217 | CT | 1 | 3 | B | Active |
| Sami Capital, LLC CRD: 334547 | - | 0 | 1 | - | Unknown |
| Samjo Capital, LLC CRD: 163429 | - | 0 | 0 | - | Unknown |
| Samjo Management, LLC CRD: 326808 | - | 0 | 1 | - | Unknown |
| Samju Capital LLC CRD: 337477 | - | 0 | 1 | - | Unknown |
| Samlyn Capital, LLC CRD: 158296 | - | 0 | 1 | - | Unknown |
| Sammons Financial Network, LLC CRD: 158538 | IA | 0 | 2 | A | Active |
| Sammons Wealth CRD: 286284 | - | 0 | 1 | - | Unknown |
| Sampatti Financial LLC CRD: 188513 | - | 0 | 1 | - | Unknown |
| Sample Financial Solutions, LLC CRD: 304192 | - | 0 | 2 | - | Unknown |
| Sample LYNCH & Company CRD: 26434 | - | 0 | 0 | A | INACTIVE |
| Sampson Investment Management CRD: 118492 | - | 0 | 0 | - | Unknown |
| Sampson Trading, LP CRD: 119097 | - | 0 | 0 | A | INACTIVE |
| Samrah Advisory Services CRD: 154268 | - | 0 | 0 | - | Unknown |
| Samsara Biocapital, LLC CRD: 288114 | - | 0 | 1 | - | Unknown |
| Samson Capital Group, LLC CRD: 318308 | - | 0 | 1 | - | Unknown |
| Samson Rock Capital LLP CRD: 304121 | - | 0 | 0 | - | Unknown |
| Samson Securities Company CRD: 8597 | - | 0 | 0 | A | INACTIVE |
| Samsung Asset Management (Hong Kong) Limited CRD: 286182 | - | 0 | 0 | - | Unknown |
| Samsung Asset Management (NEW York), Inc. CRD: 133827 | - | 0 | 1 | - | Unknown |
| Samsung Asset Management Company, Ltd. CRD: 158319 | - | 0 | 0 | - | Unknown |
| Samsung Securities (America), Inc. CRD: 43432 | NY | 0 | 2 | A | Active |
| Samuel a. Ramirez & Company, Inc. CRD: 6963 | NY | 8 | 14 | B | Active |
| Samuel E. Stern Investments,Ltd. CRD: 14690 | - | 0 | 0 | A | INACTIVE |
| Samuel H. Ellis & Co., Inc. CRD: 7503 | - | 0 | 0 | A | INACTIVE |
| Samuel Montagu, Inc. CRD: 13991 | - | 0 | 0 | A | INACTIVE |
| Samuel Weiss & Co., Inc. CRD: 33049 | - | 1 | 0 | B | INACTIVE |
| Samuel Weiss & Co., Incorporated CRD: 3737 | - | 0 | 0 | A | INACTIVE |
| Samuels Chase & Co., Inc. CRD: 36699 | - | 2 | 0 | B | INACTIVE |
| Samuels Financial Services, Inc. CRD: 120777 | - | 0 | 2 | - | Unknown |
| Samuelson Trading Corporation CRD: 35797 | - | 1 | 0 | B | INACTIVE |
| Samuelson/Smith CRD: 34033 | - | 0 | 0 | A | INACTIVE |
| SAN Anco Securities Company CRD: 11026 | - | 0 | 0 | A | INACTIVE |
| SAN Andreas Capital, LLC CRD: 140690 | - | 0 | 0 | - | Unknown |
| SAN Antonio Wealth, LLC CRD: 324080 | - | 0 | 2 | - | Unknown |
| SAN Blas Advisory, Inc. CRD: 296929 | - | 0 | 10 | - | Unknown |
| SAN Blas Capital, LLC CRD: 140971 | - | 0 | 1 | - | Unknown |
| SAN Blas Securities LLC CRD: 290605 | IL | 0 | 8 | A | Active |
| SAN Clemente Securities, Inc. CRD: 21895 | - | 18 | 0 | F | INACTIVE |
| SAN Diego Securities Incorporated CRD: 4136 | - | 0 | 0 | A | INACTIVE |
| SAN Diego Wealth Management, LLC CRD: 155876 | - | 0 | 0 | - | Unknown |
| SAN Francisco Asset Solutions CRD: 336457 | - | 0 | 2 | - | Unknown |
| SAN Francisco Financial Corporation CRD: 11351 | - | 0 | 0 | A | INACTIVE |