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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Schoenke & Associates Securities Corporation
CRD: 31245
 - 0 0 A INACTIVE
Schoff & Baxter, Inc.
CRD: 3290
 - 9 0 D INACTIVE
Schofield Securities, Inc.
CRD: 14041
 - 0 0 A INACTIVE
Scholar Financial
CRD: 285968
 - 0 0 - Unknown
Scholar Financial, LLC
CRD: 324640
 - 0 0 - Unknown
Scholardog
CRD: 341107
 - 0 1 - Unknown
Scholtz & Company, LLC
CRD: 107363
 - 0 1 - Unknown
Schomer Wealth Advisors, LLC
CRD: 283372
 - 0 0 - Unknown
Schon-EX LLC
CRD: 32211
 - 5 0 C INACTIVE
Schonfeld Securities, LLC
CRD: 23304
 - 20 0 F INACTIVE
Schonfeld Strategic Advisors LLC
CRD: 281984
 - 0 1 - Unknown
Schonfeld Wealth Management, LLC
CRD: 342323
 - 0 1 - Unknown
School of Personal Finance
CRD: 307332
 - 0 2 - Unknown
School Street Fund Distributor, Inc.
CRD: 11021
 - 0 0 A INACTIVE
Schooner Investment Group LLC
CRD: 146551
 - 0 0 - Unknown
Schooner Wealth Management
CRD: 335749
 - 0 1 - Unknown
Schoonmaker Investment Management, Inc.
CRD: 120897
 - 0 0 - Unknown
Schorn Wealth
CRD: 304104
 - 0 3 - Unknown
Schostak Equities Corporation
CRD: 13135
 - 0 0 A INACTIVE
Schott, Henry John
CRD: 39604
 - 0 0 A INACTIVE
Schottenfeld Group GP LLC
CRD: 289379
 - 0 0 - Unknown
Schottenfeld Group LLC
CRD: 128103
 - 3 0 B INACTIVE
Schox Venture Management
CRD: 309786
 - 0 1 - Unknown
Schram, Lori
CRD: 329637
 - 0 1 - Unknown
Schram, Robert
CRD: 144142
 - 0 0 - Unknown
Schreck Merchants Group, Inc.
CRD: 37913
 - 0 0 A INACTIVE
Schreiber Investment Advisory Services
CRD: 109773
 - 0 0 - Unknown
Schreier Financial, LLC
CRD: 148838
 - 0 1 - Unknown
Schreiner Financial Solutions
CRD: 322497
 - 0 2 - Unknown
Schroder & Co. Inc.
CRD: 6112
 - 25 0 F INACTIVE
Schroder Fund Advisors LLC
CRD: 24129
 NY 0 3 A Active
Schroder Investment Management (Europe) S.A.
CRD: 299812
 - 0 0 - Unknown
Schroder Investment Management (Japan) Limited
CRD: 306616
 - 0 0 - Unknown
Schroder Investment Management (Switzerland) AG
CRD: 309892
 - 0 0 - Unknown
Schroder Investment Management North America Inc
CRD: 105820
 - 0 1 - Unknown
Schroder Investment Management North America Ltd
CRD: 106585
 - 0 0 - Unknown
Schroder Real Estate Investment Management Limited
CRD: 318284
 - 0 0 - Unknown
Schroder Structured Investments Inc.
CRD: 27173
 - 0 0 A INACTIVE
Schroder Wealth Management (US) Limited
CRD: 289151
 - 0 0 - Unknown
Schroders Capital Management (US) Inc.
CRD: 145194
 - 0 1 - Unknown
Schroders Greencoat LLP
CRD: 312616
 - 0 0 - Unknown
Schroeder Financial Services, Inc.
CRD: 145751
 - 0 0 - Unknown
Schroeder, Dale Douglas
CRD: 127839
 - 0 0 A INACTIVE
Schroff Brokerage Corporation
CRD: 15748
 - 0 0 A INACTIVE
Schuessler & Company
CRD: 282698
 - 0 0 - Unknown
Schuler Wealth Planning LLC
CRD: 318249
 - 0 1 - Unknown
Schulhoff & Co Inc
CRD: 105264
 - 0 4 - Unknown
Schulman Investment Partners, L.P.
CRD: 43736
 - 0 0 A INACTIVE
Schulmerich & Associates Asset Management, LLC
CRD: 112547
 - 0 2 - Unknown
Schulte & Johnson, Inc.
CRD: 21716
 - 0 0 A INACTIVE
Page 1272 of 1601 (80,028 total)
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