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 |
|---|---|---|---|---|---|
| Santori & Peters CRD: 105978 | - | 0 | 3 | - | Unknown |
| Sanwa Duval L.P. CRD: 29042 | - | 0 | 0 | A | INACTIVE |
| Sanwa Securities (USA) Co., L.P. CRD: 19697 | - | 0 | 0 | A | INACTIVE |
| Sanwa Universal Securities Co., LLC CRD: 8427 | - | 1 | 0 | B | INACTIVE |
| Sanyo Securities America Inc. CRD: 7385 | - | 0 | 0 | A | INACTIVE |
| Saos Capital, LLC CRD: 159515 | - | 0 | 3 | - | Unknown |
| Saothair Capital Partners CRD: 328192 | - | 0 | 1 | - | Unknown |
| SAP Capital Management, LLC CRD: 169070 | - | 0 | 0 | - | Unknown |
| Sapeno Inc. CRD: 124769 | - | 0 | 0 | A | Active |
| Sapere Revelation Funds Management, LLC CRD: 299436 | - | 0 | 0 | - | Unknown |
| Sapere Wealth Creation, LLC CRD: 121561 | - | 0 | 0 | A | INACTIVE |
| Saperston Financial Inc. CRD: 27863 | - | 0 | 0 | A | INACTIVE |
| Saphira Technology Partners, LLC CRD: 317526 | - | 0 | 1 | - | Unknown |
| Sapia Partners LLP CRD: 172477 | - | 0 | 0 | - | Unknown |
| Sapient Advisors, Inc. CRD: 301712 | - | 0 | 1 | - | Unknown |
| Sapient Capital LLC CRD: 324899 | - | 0 | 11 | - | Unknown |
| Sapient Investments LLC CRD: 292098 | - | 0 | 1 | - | Unknown |
| Sapient Road Wealth Management, LLC CRD: 168689 | - | 0 | 1 | - | Unknown |
| Sapling Wealth Management CRD: 155361 | - | 0 | 1 | - | Unknown |
| Saposh & Malter, Inc. CRD: 119514 | - | 0 | 2 | - | Unknown |
| Sapphire Blue Investment Partners CRD: 291609 | - | 0 | 1 | - | Unknown |
| Sapphire Citadel Capital CRD: 331335 | - | 0 | 1 | - | Unknown |
| Sapphire Financial Strategies, L.L.C. CRD: 296926 | - | 0 | 1 | - | Unknown |
| Sapphire Management, LLC CRD: 162902 | - | 0 | 0 | - | Unknown |
| Sapphire Partners, LLC CRD: 45792 | - | 1 | 0 | B | INACTIVE |
| Sapphire Star Capital LLC CRD: 226665 | - | 0 | 2 | - | Unknown |
| Sapphire Tide Capital Ltd CRD: 340119 | - | 0 | 1 | - | Unknown |
| Sapphire Ventures, LP CRD: 161558 | - | 0 | 1 | - | Unknown |
| Sapphire Wealth CRD: 340393 | - | 0 | 1 | - | Unknown |
| Sapphire Wealth Advisory CRD: 341280 | - | 0 | 1 | - | Unknown |
| Sapphire Wealth Planning LLC CRD: 282779 | - | 0 | 2 | - | Unknown |
| SAR Services, Inc. CRD: 113579 | - | 0 | 1 | - | Unknown |
| SAR Wealth Management CRD: 170194 | - | 0 | 1 | - | Unknown |
| Sara Investment Consulting CRD: 143434 | - | 0 | 0 | - | Unknown |
| Sara-BAY Financial Corp. CRD: 133443 | - | 0 | 1 | - | Unknown |
| Saracen Capital LP CRD: 159405 | - | 0 | 0 | - | Unknown |
| Saracen Energy Advisors, LP CRD: 136435 | - | 0 | 0 | - | Unknown |
| Sarah Carr Financial CRD: 165377 | - | 0 | 0 | - | Unknown |
| Sarah Smith Fund, LLC CRD: 323926 | - | 0 | 1 | - | Unknown |
| Saranap Wealth Advisors CRD: 284277 | - | 0 | 1 | - | Unknown |
| Sarasin & Partners LLP CRD: 160009 | - | 0 | 0 | - | Unknown |
| Sarasota Capital Strategies,Inc. CRD: 125951 | - | 0 | 4 | - | Unknown |
| Saratoga Capital (Singapore) PTE. Ltd. CRD: 163397 | - | 0 | 0 | - | Unknown |
| Saratoga Capital Corp. CRD: 16231 | - | 0 | 0 | A | INACTIVE |
| Saratoga Capital Management, LLC CRD: 112021 | - | 0 | 1 | - | Unknown |
| Saratoga Capital Markets CRD: 120888 | - | 1 | 0 | B | INACTIVE |
| Saratoga Investment Solutions Inc. CRD: 124949 | - | 0 | 1 | - | Unknown |
| Saratoga Management 5, LLC CRD: 165878 | - | 0 | 0 | - | Unknown |
| Saratoga Management 6, LLC CRD: 165879 | - | 0 | 0 | - | Unknown |
| Saratoga Realty Investors LLC CRD: 172600 | - | 0 | 0 | - | Unknown |