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 |
|---|---|---|---|---|---|
| SEA Cliff Wealth Management CRD: 171815 | - | 0 | 0 | - | Unknown |
| SEA Financial Hawaii CRD: 340457 | - | 0 | 1 | - | Unknown |
| SEA Investors Corporation CRD: 11216 | - | 0 | 0 | A | INACTIVE |
| SEA Meadow Capital Management, LP CRD: 319334 | - | 0 | 1 | - | Unknown |
| SEA Otter Advisors LLC CRD: 321079 | - | 0 | 0 | - | Unknown |
| SEA Otter Securities Group LLC CRD: 171630 | - | 3 | 0 | C | INACTIVE |
| SEA Pines Investments, Inc. CRD: 13638 | - | 0 | 0 | A | INACTIVE |
| SEA Securities, L.L.C. CRD: 130704 | - | 1 | 0 | B | INACTIVE |
| SEA Street Capital Advisors LLC CRD: 173236 | - | 0 | 0 | A | INACTIVE |
| SEA Suite Financial LLC CRD: 336305 | - | 0 | 1 | - | Unknown |
| Seaahead, Inc. CRD: 341313 | - | 0 | 1 | - | Unknown |
| Seabec Inc CRD: 171100 | - | 0 | 0 | - | Unknown |
| Seaboard Securities, Inc. CRD: 755 | - | 34 | 0 | F | INACTIVE |
| Seaborn Financial, LLC CRD: 159073 | - | 0 | 3 | - | Unknown |
| Seabrook Benefits Consulting, Inc. CRD: 42664 | - | 0 | 0 | A | INACTIVE |
| Seabrook Investment Group CRD: 15864 | - | 0 | 0 | A | INACTIVE |
| Seabrook Partners LLC CRD: 156581 | FL | 0 | 2 | A | Active |
| Seabury Securities LLC CRD: 41916 | NY | 0 | 2 | A | Active |
| Seacap Advisors, LLC CRD: 281957 | - | 0 | 1 | - | Unknown |
| Seacap Securities LLC CRD: 133994 | NY | 0 | 4 | A | Active |
| Seacliff Capital, LLC CRD: 282004 | - | 0 | 0 | - | Unknown |
| Seacoast Investor Services, Inc. CRD: 18615 | - | 3 | 0 | C | INACTIVE |
| Seacoast Securities, Inc. CRD: 16932 | - | 0 | 0 | A | INACTIVE |
| Seacrest Capital Group CRD: 174045 | - | 0 | 0 | - | Unknown |
| Seacure Advisors LLC CRD: 170079 | - | 0 | 0 | - | Unknown |
| Seae Ventures, LLC CRD: 312690 | - | 0 | 1 | - | Unknown |
| Seaf CRD: 161539 | - | 0 | 1 | - | Unknown |
| Seafirst Investment Services, Inc. CRD: 17411 | - | 0 | 0 | A | INACTIVE |
| Seafirst Securities, Inc. CRD: 17943 | - | 0 | 0 | A | INACTIVE |
| Seagate Realty Advisors LLC CRD: 316418 | - | 0 | 1 | - | Unknown |
| Seagrass Advisors, LLC CRD: 165176 | - | 0 | 0 | - | Unknown |
| Seagrass Financial, LLC CRD: 281256 | - | 0 | 1 | - | Unknown |
| Seagul Capital LP CRD: 162794 | - | 0 | 0 | - | Unknown |
| Seagull Lane Asset Management LLC CRD: 117034 | - | 0 | 0 | - | Unknown |
| Seagull Lane Asset Management LLC CRD: 282566 | - | 0 | 2 | - | Unknown |
| Seal Cove Capital LLC CRD: 332033 | - | 0 | 1 | - | Unknown |
| Seal Rock Wealth Management, LLC CRD: 282591 | - | 0 | 1 | - | Unknown |
| Seal, Stephen James CRD: 35101 | - | 0 | 0 | A | INACTIVE |
| Sealark LLP CRD: 283725 | - | 0 | 0 | - | Unknown |
| Seale Capital, Inc. CRD: 148420 | - | 0 | 0 | A | INACTIVE |
| Sealex Advisory, LLC CRD: 321861 | - | 0 | 1 | - | Unknown |
| Sealight Capital LLC CRD: 326980 | - | 0 | 0 | - | Unknown |
| Sealight Capital LLP CRD: 282282 | - | 0 | 0 | - | Unknown |
| Sealion Capital, LLC CRD: 171807 | IN | 0 | 2 | A | Active |
| Sealy Investment Securities Corp. CRD: 13952 | - | 0 | 0 | A | INACTIVE |
| Sealy Investment Securities, LLC CRD: 300691 | TX | 0 | 2 | A | Active |
| Seam Financial CRD: 337902 | - | 0 | 1 | - | Unknown |
| Seamark Financial Services, Inc. CRD: 125604 | - | 0 | 0 | - | Unknown |
| Seamfi CRD: 299333 | - | 0 | 0 | - | Unknown |
| Seamless Alts Advisory CRD: 336066 | - | 0 | 1 | - | Unknown |