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 |
|---|---|---|---|---|---|
| SAN Francisco Securities, Inc. CRD: 43629 | - | 5 | 0 | C | INACTIVE |
| SAN Francisco Sentry Investment Group CRD: 106257 | - | 0 | 0 | - | Unknown |
| SAN Gabriel Capital CRD: 170486 | - | 0 | 1 | - | Unknown |
| SAN Jacinto Advisors LLC CRD: 281236 | - | 0 | 0 | - | Unknown |
| SAN Juan Asset Management, Inc. CRD: 138046 | - | 0 | 0 | - | Unknown |
| SAN Juan Capital Partners, LLC CRD: 138997 | - | 0 | 0 | - | Unknown |
| SAN Juan Investments LLC CRD: 205514 | - | 0 | 0 | - | Unknown |
| SAN Luis Wealth Advisors CRD: 309506 | - | 0 | 1 | - | Unknown |
| SAN Marino Securities, Inc. CRD: 18588 | - | 0 | 0 | A | INACTIVE |
| SAN Marino Wealth Management CRD: 132764 | - | 0 | 0 | - | Unknown |
| SAN Mateo Capital Management LLC CRD: 165437 | - | 0 | 0 | - | Unknown |
| Sanborn Capital Management Securities Corporation CRD: 14878 | - | 0 | 0 | A | INACTIVE |
| Sanchez & Zures, LLC CRD: 139898 | - | 0 | 1 | - | Unknown |
| Sanchez Wealth Management, LLC CRD: 317033 | - | 0 | 0 | - | Unknown |
| Sanchez-O-Brien Securities Corporation CRD: 8581 | - | 0 | 0 | A | INACTIVE |
| Sanctuary Advisors CRD: 285428 | - | 0 | 1 | - | Unknown |
| Sanctuary Advisors, LLC CRD: 226606 | - | 0 | 424 | - | Unknown |
| Sanctuary Securities LLC CRD: 144091 | - | 0 | 0 | A | INACTIVE |
| Sanctuary Securities, Inc. CRD: 205 | FL | 30 | 88 | C | Active |
| Sancus Capital Management LP CRD: 157121 | - | 0 | 1 | - | Unknown |
| Sancus Ventures Management, LLC CRD: 321680 | - | 0 | 1 | - | Unknown |
| Sancus Wealth Management LLC CRD: 313226 | - | 0 | 1 | - | Unknown |
| Sand & Gold, LLC CRD: 171366 | - | 0 | 0 | - | Unknown |
| Sand Aire North America, LLC CRD: 282243 | - | 0 | 0 | - | Unknown |
| Sand Capital LLC CRD: 298343 | NY | 0 | 2 | A | Active |
| Sand Castle Trading LLC CRD: 35750 | - | 0 | 0 | A | INACTIVE |
| Sand County Securities, Inc. CRD: 23174 | - | 0 | 0 | A | INACTIVE |
| Sand County Securities, L.P. CRD: 28500 | - | 0 | 0 | A | INACTIVE |
| Sand Creek Capital, LLC CRD: 326719 | - | 0 | 5 | - | Unknown |
| Sand Dollar Real Estate Investments, Inc. CRD: 22600 | - | 0 | 0 | A | INACTIVE |
| Sand Grove Capital Management CRD: 300997 | - | 0 | 0 | - | Unknown |
| Sand Harbor Capital LLC CRD: 298274 | - | 0 | 1 | - | Unknown |
| Sand Hill Global Advisors, LLC CRD: 111295 | - | 0 | 8 | - | Unknown |
| Sand Hill Road Technologies Fund Management LLC CRD: 338485 | - | 0 | 1 | - | Unknown |
| Sand Oaks Management, LLC CRD: 146419 | - | 0 | 0 | - | Unknown |
| Sand Spring Advisors LLC CRD: 285591 | - | 0 | 1 | - | Unknown |
| Sandage Securities,Inc. CRD: 15456 | - | 0 | 0 | A | INACTIVE |
| Sandalwood Investment Group CRD: 285604 | - | 0 | 0 | - | Unknown |
| Sandalwood Securities, Inc. CRD: 27240 | - | 0 | 1 | A | INACTIVE |
| Sandbach & Co., Inc. CRD: 13661 | - | 0 | 0 | A | INACTIVE |
| Sandberg Securities, Inc. CRD: 6378 | - | 0 | 0 | A | INACTIVE |
| Sandberg, Kenneth William CRD: 33833 | - | 0 | 0 | A | INACTIVE |
| Sandbox Capital, LLC CRD: 139938 | - | 0 | 0 | A | INACTIVE |
| Sandbox Holdings, LLC CRD: 167419 | - | 0 | 1 | - | Unknown |
| Sandbox Industries CRD: 300952 | - | 0 | 1 | - | Unknown |
| Sandbox STUDIOS.VC, LLC CRD: 316540 | - | 0 | 1 | - | Unknown |
| Sandbrook Capital LLC CRD: 323626 | - | 0 | 1 | - | Unknown |
| Sandell Asset Management Corp. CRD: 137834 | - | 0 | 0 | - | Unknown |
| Sander, Mark Stephen CRD: 127083 | - | 0 | 0 | A | INACTIVE |
| Sanderlin Securities, LLC CRD: 104442 | TN | 0 | 2 | A | Active |