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 |
|---|---|---|---|---|---|
| Saxum Capital Partners LLC CRD: 323325 | - | 0 | 0 | - | Unknown |
| Saya Management LP CRD: 289135 | - | 0 | 0 | - | Unknown |
| Saybrook Advisors, LLC CRD: 139018 | - | 0 | 0 | - | Unknown |
| Saybrook Capital Corp CRD: 107679 | - | 0 | 1 | - | Unknown |
| Saybrook Capital Corporation CRD: 26398 | - | 2 | 0 | B | INACTIVE |
| Saybrook Fund Advisors, LLC CRD: 158634 | - | 0 | 1 | - | Unknown |
| Saybrook Wealth Group, Inc. CRD: 317867 | - | 0 | 0 | - | Unknown |
| Saybrus Equity Services, LLC CRD: 153319 | CT | 0 | 19 | A | Active |
| Saye Capital Management, LP CRD: 161771 | - | 0 | 0 | - | Unknown |
| Sayer Capital LP CRD: 298033 | - | 0 | 0 | - | Unknown |
| Sayj Investment Services, LLC CRD: 149338 | - | 0 | 0 | - | Unknown |
| Saza Wealth Partners LLC CRD: 311192 | - | 0 | 0 | - | Unknown |
| Sazes Securities LLC CRD: 35957 | - | 1 | 0 | B | INACTIVE |
| Sazze Partners, Inc. CRD: 298152 | - | 0 | 1 | - | Unknown |
| SB Advisory, LLC CRD: 154680 | - | 0 | 35 | - | Unknown |
| SB Capital Management, Inc. CRD: 126826 | - | 0 | 0 | - | Unknown |
| SB Healthcare Capital LLC CRD: 341028 | - | 0 | 1 | - | Unknown |
| SB Investment Advisers (US) Inc. CRD: 286323 | - | 0 | 1 | - | Unknown |
| SB Stratre Advisors LLC CRD: 288078 | - | 0 | 0 | - | Unknown |
| SB Wealth CRD: 108126 | - | 0 | 0 | - | Unknown |
| SB1 Capital Markets Inc CRD: 154132 | NY | 0 | 2 | A | Active |
| SBA Trading, LLC CRD: 44717 | - | 1 | 0 | B | INACTIVE |
| Sbauer Funds, LLC CRD: 144782 | - | 0 | 1 | - | Unknown |
| SBB Research Group LLC CRD: 161109 | - | 0 | 1 | - | Unknown |
| SBC Capital CRD: 298658 | - | 0 | 0 | - | Unknown |
| SBC Partners CRD: 284750 | - | 9 | 0 | D | INACTIVE |
| SBC Warburg Dillon Read Inc. CRD: 1650 | - | 0 | 0 | A | INACTIVE |
| SBC Warburg, Inc. CRD: 23745 | - | 0 | 0 | A | INACTIVE |
| SBC Wealth Management CRD: 122433 | - | 0 | 0 | - | Unknown |
| Sbci Swiss Bank Corporation Investment Banking Inc… CRD: 4341 | - | 0 | 0 | A | INACTIVE |
| SBCVC Holdings Limited CRD: 162867 | - | 0 | 0 | - | Unknown |
| SBE Capital Markets CRD: 154325 | - | 0 | 0 | - | Unknown |
| Sberbank CIB USA, Inc. CRD: 47972 | - | 2 | 0 | B | INACTIVE |
| SBF Securities Company, L.P. CRD: 24786 | - | 0 | 0 | A | INACTIVE |
| SBI US Gateway Fund Management CRD: 338263 | - | 0 | 1 | - | Unknown |
| SBJ Capital CRD: 293841 | - | 0 | 1 | - | Unknown |
| SBK Capital Management LLC CRD: 291607 | - | 0 | 0 | - | Unknown |
| SBK-Brooks Investment Corp. CRD: 35851 | - | 5 | 0 | C | INACTIVE |
| SBL Capital Sarl CRD: 335233 | - | 0 | 0 | - | Unknown |
| SBL Planning, Inc. CRD: 4315 | - | 0 | 0 | A | INACTIVE |
| Sbla Advisers Corp. CRD: 305652 | - | 0 | 0 | - | Unknown |
| SBO Management, LLC. CRD: 315258 | - | 0 | 0 | - | Unknown |
| SBS Discount Brokerage CRD: 17600 | - | 0 | 0 | A | INACTIVE |
| SBSB Financial Advisors CRD: 109732 | - | 0 | 0 | - | Unknown |
| SBT Investors Brokerage Services, Inc. CRD: 17832 | - | 0 | 0 | A | INACTIVE |
| Sbva Corp. CRD: 313837 | - | 0 | 0 | - | Unknown |
| SBX Inc. CRD: 43912 | - | 0 | 0 | A | INACTIVE |
| SBX Securities, Inc. CRD: 33253 | - | 0 | 0 | A | INACTIVE |
| SC Asesores EN Inversiones Independientes SA DE CV CRD: 339845 | - | 0 | 0 | - | Unknown |
| SC Capital Advisors CRD: 123875 | - | 0 | 0 | - | Unknown |