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 |
|---|---|---|---|---|---|
| Sanford Roberts, Inc. CRD: 36659 | - | 2 | 0 | B | INACTIVE |
| Sanfran Restaurant LLC CRD: 173646 | - | 0 | 0 | - | Unknown |
| Sanfrey Securities, Inc. CRD: 19770 | - | 0 | 0 | A | INACTIVE |
| Sango Capital Management CRD: 165935 | - | 0 | 0 | - | Unknown |
| Sangre DE Cristo Financial Advisors, LLC CRD: 283506 | - | 0 | 0 | - | Unknown |
| Sanguine OWL, LC CRD: 163924 | - | 0 | 1 | - | Unknown |
| Sanibel Securities Group, Inc. CRD: 10713 | - | 0 | 0 | A | INACTIVE |
| Sanitas Wealth Management, LLC CRD: 288012 | - | 0 | 0 | - | Unknown |
| Sanjac Alpha LP CRD: 329302 | - | 0 | 2 | - | Unknown |
| Sankala Group LLC CRD: 154806 | - | 0 | 3 | - | Unknown |
| Sankalpa Financial, L.L.C. CRD: 299641 | - | 0 | 0 | - | Unknown |
| Sankota Capital LLC CRD: 333468 | - | 0 | 1 | - | Unknown |
| Sanlam Investments East Africa Limited CRD: 163250 | - | 0 | 0 | - | Unknown |
| Sanostro AG CRD: 290214 | - | 0 | 0 | - | Unknown |
| Sansar Capital Management, L.L.C. CRD: 135760 | - | 0 | 0 | - | Unknown |
| Sanskar Advisors, Inc. CRD: 113727 | - | 0 | 1 | - | Unknown |
| Sanskar Social Impact Advisors, Inc CRD: 282672 | - | 0 | 0 | - | Unknown |
| Sansone & Associates CRD: 130053 | - | 0 | 1 | - | Unknown |
| Sansone Advisors, LLC CRD: 167713 | - | 0 | 0 | - | Unknown |
| Sansone Advisors, LLC CRD: 342393 | - | 0 | 1 | - | Unknown |
| Sansone CPA & Financial CRD: 338455 | - | 0 | 1 | - | Unknown |
| Sansoterra Group LLC CRD: 133586 | - | 0 | 2 | - | Unknown |
| Santa Barbara Advisors, Inc. CRD: 134239 | - | 0 | 0 | - | Unknown |
| Santa Barbara Asset Management, LLC CRD: 138123 | - | 0 | 0 | - | Unknown |
| Santa Barbara Investment Capital CRD: 176524 | - | 0 | 0 | - | Unknown |
| Santa Barbara Management CRD: 334801 | - | 0 | 3 | - | Unknown |
| Santa Barbara Securities, Inc. CRD: 8499 | - | 0 | 0 | A | INACTIVE |
| Santa Barbara Venture Partners CRD: 310071 | - | 0 | 1 | - | Unknown |
| Santa Barbara Venture Partners GP II LLC CRD: 322615 | - | 0 | 1 | - | Unknown |
| Santa Cruz Financial CRD: 334207 | - | 0 | 1 | - | Unknown |
| Santa Cruz Wealth Management Inc. CRD: 325737 | - | 0 | 1 | - | Unknown |
| Santa FE Advisors LLC CRD: 170872 | - | 0 | 1 | - | Unknown |
| Santa FE Securities Corp. CRD: 31491 | - | 1 | 0 | B | INACTIVE |
| Santa FE Trading, LLC CRD: 142081 | - | 0 | 0 | A | INACTIVE |
| Santa FE' Wealth Management CRD: 140810 | - | 0 | 1 | - | Unknown |
| Santa Lucia Asset Management PTE. Ltd. CRD: 291669 | - | 0 | 0 | - | Unknown |
| Santa Monica Wealth Management, LLC CRD: 298174 | - | 0 | 2 | - | Unknown |
| Santa Rita Partners, Inc. CRD: 147489 | - | 0 | 0 | A | INACTIVE |
| Santa Susana Financial, LLC CRD: 341629 | - | 0 | 1 | - | Unknown |
| Santander Alternative Investments, Sgiic, S.A.U. CRD: 333187 | - | 0 | 0 | - | Unknown |
| Santander Asset Management SA Sgiic CRD: 143883 | - | 0 | 0 | - | Unknown |
| Santander Brasil Asset Management CRD: 156926 | - | 0 | 0 | - | Unknown |
| Santander International Securities, Inc. CRD: 131165 | - | 2 | 0 | B | INACTIVE |
| Santander Investment Securities Inc. CRD: 37216 | - | 10 | 0 | D | INACTIVE |
| Santander Securities LLC CRD: 41791 | MA | 19 | 422 | B | Active |
| Santander US Capital Markets LLC CRD: 150696 | NY | 5 | 13 | C | Active |
| Sante Ventures CRD: 160280 | - | 0 | 1 | - | Unknown |
| Santefort Investment Group, LLC CRD: 292727 | - | 0 | 1 | - | Unknown |
| Santiago Capital, LLC CRD: 154579 | - | 0 | 1 | - | Unknown |
| SANTIAGO.LIFE CRD: 257786 | - | 0 | 1 | - | Unknown |