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 |
|---|---|---|---|---|---|
| Schultz and Associates Inc. CRD: 128761 | - | 0 | 2 | - | Unknown |
| Schultz Collins CRD: 106964 | - | 0 | 0 | - | Unknown |
| Schultz Retirement Income Solutions, Inc. CRD: 158577 | - | 0 | 1 | - | Unknown |
| Schultz, Frank William CRD: 46738 | - | 0 | 0 | A | INACTIVE |
| Schulz Financial Group CRD: 339660 | - | 0 | 1 | - | Unknown |
| Schulz Financial, LLC CRD: 126820 | - | 0 | 1 | - | Unknown |
| Schulz Wealth, Ltd. CRD: 172194 | - | 0 | 1 | - | Unknown |
| Schumacher Financial, LLC CRD: 297211 | - | 0 | 1 | - | Unknown |
| Schupak Financial Advisors CRD: 277106 | - | 0 | 0 | - | Unknown |
| Schuparra Securities Corporation CRD: 10531 | - | 0 | 0 | A | INACTIVE |
| Schutte Financial LLC CRD: 285217 | - | 0 | 1 | - | Unknown |
| Schutte, Paula M CRD: 126016 | - | 0 | 0 | - | Unknown |
| Schuylkill Financial, LLC CRD: 143052 | - | 0 | 3 | - | Unknown |
| Schwab Alterity, L.P. CRD: 45294 | - | 0 | 0 | A | INACTIVE |
| Schwab Investments, Inc. CRD: 10568 | - | 0 | 0 | A | INACTIVE |
| Schwab Wealth Advisory, Inc. CRD: 159035 | - | 0 | 1,325 | - | Unknown |
| Schwab Wealth Investment Advisory, Inc. CRD: 173455 | - | 0 | 0 | - | Unknown |
| Schwalb Capital Securities, Inc. CRD: 28584 | - | 0 | 0 | A | INACTIVE |
| Schwallier Wealth Management CRD: 143329 | - | 0 | 1 | - | Unknown |
| Schwan Financial Advisors, LLC CRD: 127313 | - | 0 | 1 | - | Unknown |
| Schwanke, Walter Scott CRD: 33452 | - | 0 | 0 | A | INACTIVE |
| Schwantes Financial, LLC CRD: 332143 | - | 0 | 1 | - | Unknown |
| Schwarm & Co. CRD: 751 | - | 0 | 0 | A | INACTIVE |
| Schwarm & Co. CRD: 25923 | - | 0 | 0 | A | INACTIVE |
| Schwartz & Company CRD: 31570 | - | 0 | 0 | A | INACTIVE |
| Schwartz Fund Distributors, Inc. CRD: 117325 | - | 0 | 0 | A | INACTIVE |
| Schwartz Investment Counsel Inc CRD: 104693 | - | 0 | 1 | - | Unknown |
| Schwartz School of Business CRD: 336738 | - | 0 | 1 | - | Unknown |
| Schwartz, Ethan Hanfling CRD: 118521 | - | 3 | 0 | C | INACTIVE |
| Schwartz, Todd JAY CRD: 41302 | - | 0 | 0 | A | INACTIVE |
| Schwarz Dygos Wheeler Investment Advisors LLC CRD: 147384 | - | 0 | 5 | - | Unknown |
| Schwerin Boyle Capital Management, Inc CRD: 105004 | - | 0 | 3 | - | Unknown |
| SCI Capital Markets LLC CRD: 148108 | - | 0 | 0 | A | INACTIVE |
| SCI Capital Partners LP CRD: 332592 | - | 0 | 1 | - | Unknown |
| SCI, Inc. CRD: 321197 | - | 0 | 1 | - | Unknown |
| Scia NY CRD: 337639 | - | 0 | 1 | - | Unknown |
| Sciencast Management LP CRD: 271030 | - | 0 | 1 | - | Unknown |
| Science & Technology Partners, L.P. CRD: 331267 | - | 0 | 1 | - | Unknown |
| Science Ventures Management, LLC CRD: 288721 | - | 0 | 1 | - | Unknown |
| Sciens Capital Limited CRD: 167253 | - | 0 | 0 | - | Unknown |
| Sciens Diversified Managers LLC CRD: 299996 | - | 0 | 0 | - | Unknown |
| Sciens Group Fund Services Limited CRD: 167255 | - | 0 | 0 | - | Unknown |
| Sciens Group Risk Services Limited CRD: 282271 | - | 0 | 0 | - | Unknown |
| Sciens Group Risk Services Limited CRD: 333925 | - | 0 | 0 | - | Unknown |
| Sciens Investment Management, LLC CRD: 153584 | - | 0 | 0 | - | Unknown |
| Sciens Water CRD: 299986 | - | 0 | 1 | - | Unknown |
| Scientech Research LLC CRD: 310615 | - | 0 | 1 | - | Unknown |
| Scientific Advisors, LLC CRD: 130485 | - | 0 | 0 | - | Unknown |
| Scientific Financial CRD: 324543 | - | 0 | 1 | - | Unknown |
| Scinto Group LLP CRD: 130565 | - | 0 | 2 | - | Unknown |