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 |
|---|---|---|---|---|---|
| Saratoga Research & Investment Management CRD: 110506 | - | 0 | 12 | - | Unknown |
| Saratoga Wealth Advisors, LLC CRD: 124529 | - | 0 | 0 | - | Unknown |
| Saraza Management LP CRD: 317572 | - | 0 | 1 | - | Unknown |
| Sarazen Investments, Inc. CRD: 19644 | - | 0 | 0 | A | INACTIVE |
| Sard Wealth Managment Group, LLC CRD: 123457 | - | 0 | 1 | - | Unknown |
| Sardis Group, LLC CRD: 333854 | - | 0 | 1 | - | Unknown |
| Sardona Global Advisors LLC CRD: 326726 | - | 0 | 1 | - | Unknown |
| Sarenne Capital, LLC CRD: 284223 | - | 0 | 0 | - | Unknown |
| Sargasso Partners LLP CRD: 332384 | - | 0 | 0 | - | Unknown |
| Sargent Brokerage Co. CRD: 5102 | - | 1 | 0 | B | INACTIVE |
| Sargent Investment Group CRD: 297499 | - | 0 | 1 | - | Unknown |
| Sargent Management Co CRD: 110276 | - | 0 | 0 | - | Unknown |
| Sargentic Investment Management LLC CRD: 168878 | - | 0 | 0 | - | Unknown |
| Sarkee Capital Inc CRD: 338243 | - | 0 | 1 | - | Unknown |
| Sarkisian Securities, Inc. CRD: 124008 | - | 0 | 0 | A | INACTIVE |
| Sarkor Financial Advisors CRD: 330176 | - | 0 | 1 | - | Unknown |
| Sarmaya Partners, LLC CRD: 330100 | - | 0 | 1 | - | Unknown |
| Sarmis Capital Partners S.R.L. CRD: 307776 | - | 0 | 0 | - | Unknown |
| Sarofim Realty Advisors LLC CRD: 106931 | - | 0 | 1 | - | Unknown |
| Sarofim Securities Co CRD: 11901 | - | 0 | 0 | A | INACTIVE |
| Sarofim Trust Co CRD: 106590 | - | 0 | 2 | - | Unknown |
| Sarroff, Alan Lewis CRD: 32934 | - | 4 | 0 | C | INACTIVE |
| Sarsi, LLC CRD: 168399 | - | 0 | 1 | - | Unknown |
| Sartena Securities, Inc. CRD: 40816 | - | 3 | 0 | C | INACTIVE |
| Sartin, Alan Macklin CRD: 116389 | - | 0 | 0 | A | INACTIVE |
| Sartin, Alan Macklin CRD: 45540 | - | 0 | 0 | A | INACTIVE |
| Sartorial Wealth Inc. CRD: 329971 | - | 0 | 0 | - | Unknown |
| Sarver Vrooman Wealth Advisors LLC CRD: 332699 | - | 0 | 1 | - | Unknown |
| SAS Financial Advisors, LLC. CRD: 288015 | - | 0 | 6 | - | Unknown |
| SAS Global Management, LLC CRD: 343024 | - | 0 | 1 | - | Unknown |
| SAS Registered Investment Advisors, LLC CRD: 126200 | - | 0 | 2 | - | Unknown |
| Sasco Capital Inc CRD: 105100 | - | 0 | 0 | - | Unknown |
| Sasquatch Trading, LP CRD: 104475 | - | 0 | 0 | A | INACTIVE |
| Sasser Investment Management, Inc. CRD: 110886 | - | 0 | 1 | - | Unknown |
| SAT Financial Advisors Inc. CRD: 283792 | - | 0 | 1 | - | Unknown |
| Satellite Securities Corporation CRD: 13086 | - | 0 | 0 | A | INACTIVE |
| Sather Financial Group, Inc. CRD: 109344 | - | 0 | 9 | - | Unknown |
| Sather's Financial LLC CRD: 312167 | - | 0 | 0 | - | Unknown |
| Satis Wealth Management CRD: 336301 | - | 0 | 0 | - | Unknown |
| Satochi Inc. CRD: 293340 | - | 0 | 0 | - | Unknown |
| Satori Capital, LLC CRD: 161829 | - | 0 | 1 | - | Unknown |
| Satori Digital Asset Management, LLC CRD: 321987 | - | 0 | 0 | - | Unknown |
| Satori Financial LLC CRD: 115592 | - | 0 | 2 | - | Unknown |
| Satori Traders CRD: 311042 | - | 0 | 0 | - | Unknown |
| Satori Wealth Management, Inc. CRD: 287979 | - | 0 | 2 | - | Unknown |
| Sattar Investment Advisory and Management, LLC CRD: 135586 | - | 0 | 0 | - | Unknown |
| Satter Equity Corporation CRD: 21489 | - | 0 | 0 | A | INACTIVE |
| Saturn Capital, Inc. CRD: 15412 | FL | 0 | 2 | A | Active |
| Saturn Equities, LLC CRD: 327877 | - | 0 | 1 | - | Unknown |
| Saturn Five Advisors LLC CRD: 322348 | - | 0 | 1 | - | Unknown |