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 |
|---|---|---|---|---|---|
| Seamount Execution Services LLC CRD: 139242 | - | 0 | 0 | A | INACTIVE |
| Seamount Financial Group Inc CRD: 107834 | - | 0 | 4 | - | Unknown |
| Seapine Securities, LLC CRD: 143463 | - | 0 | 0 | A | INACTIVE |
| Seaplane Partners, LLC CRD: 289789 | - | 0 | 0 | - | Unknown |
| Seaplane Ventures, LLC CRD: 326866 | - | 0 | 1 | - | Unknown |
| Seaport Capital Securities, Inc. CRD: 35730 | - | 0 | 0 | A | INACTIVE |
| Seaport Capital, LLC CRD: 160734 | - | 0 | 1 | - | Unknown |
| Seaport Financial Education LLC CRD: 334093 | - | 0 | 1 | - | Unknown |
| Seaport Global Advisors, LLC CRD: 154287 | - | 0 | 1 | - | Unknown |
| Seaport Global Securities LLC CRD: 116270 | NY | 3 | 21 | B | Active |
| Seaport Research Partners LLC CRD: 307075 | - | 0 | 2 | - | Unknown |
| Seaport Securities Corp. CRD: 8330 | NY | 1 | 2 | B | Active |
| Seaport Wealth LLC CRD: 316921 | - | 0 | 1 | - | Unknown |
| Seaport Wealth Management CRD: 310684 | - | 0 | 2 | - | Unknown |
| Seapower Carpenter Capital, Inc. CRD: 38329 | - | 0 | 0 | A | INACTIVE |
| Seaque Wealth Management Inc CRD: 164220 | - | 0 | 1 | - | Unknown |
| Search Fund Accelerator, LLC CRD: 281491 | - | 0 | 1 | - | Unknown |
| Search Fund Partners CRD: 330660 | - | 0 | 1 | - | Unknown |
| Searchlight Capital Partners CRD: 161958 | - | 0 | 1 | - | Unknown |
| Searchlight Management Co., L.L.C. CRD: 160876 | - | 0 | 0 | - | Unknown |
| Searcy Financial Services, Inc. CRD: 105807 | - | 0 | 5 | - | Unknown |
| Searle & Co. CRD: 13035 | CT | 4 | 8 | B | Active |
| Searles, Matthew B. CRD: 123244 | - | 0 | 0 | - | Unknown |
| Sears. Thompson Investment Group, Inc. CRD: 7351 | - | 1 | 0 | B | INACTIVE |
| Seas Management, LLC CRD: 334983 | - | 0 | 1 | - | Unknown |
| Seaside Equity Partners CRD: 307171 | - | 0 | 1 | - | Unknown |
| Seaside Financial & Insurance Services CRD: 132929 | - | 0 | 0 | - | Unknown |
| Seaside Securities Inc. CRD: 26138 | - | 0 | 0 | A | INACTIVE |
| Seaside Ventures Management, LLC CRD: 317945 | - | 0 | 1 | - | Unknown |
| Seaside Wealth Advisors LLC CRD: 327645 | - | 0 | 4 | - | Unknown |
| Seaside Wealth Management, Inc. CRD: 271039 | - | 0 | 1 | - | Unknown |
| Season Investments, LLC CRD: 158070 | - | 0 | 1 | - | Unknown |
| Seasonal Strategy CRD: 134456 | - | 0 | 2 | - | Unknown |
| Seasongood & Mayer CRD: 3321 | - | 4 | 0 | C | INACTIVE |
| Seasons of Advice Wealth Management CRD: 310448 | - | 0 | 8 | - | Unknown |
| Seasons of Advice Wealth Management, LLC CRD: 285925 | - | 0 | 0 | - | Unknown |
| Seasons Wealth Services LLC CRD: 337454 | - | 0 | 1 | - | Unknown |
| Seaton Financial Advisors, LLC CRD: 134586 | - | 0 | 0 | - | Unknown |
| Seattle Asset Management, Inc. CRD: 117523 | - | 0 | 2 | - | Unknown |
| Seattle Portfolio Company CRD: 116316 | - | 0 | 0 | - | Unknown |
| Seattle Wealth Management LLC CRD: 285877 | - | 0 | 1 | - | Unknown |
| Seattle-Northwest Securities Corporation CRD: 10639 | - | 10 | 0 | D | INACTIVE |
| Seaver Capital CRD: 285381 | - | 0 | 1 | - | Unknown |
| Seaview CPM LP CRD: 282536 | - | 0 | 0 | - | Unknown |
| Seaview CPM LP CRD: 306469 | - | 0 | 1 | - | Unknown |
| Seaview Global Advisors LLC CRD: 150337 | - | 0 | 0 | - | Unknown |
| Seaview Securities LLC CRD: 126180 | - | 0 | 0 | A | INACTIVE |
| Seawall Capital LLC CRD: 313289 | - | 0 | 1 | - | Unknown |
| Seaway Advisors CRD: 149745 | - | 0 | 1 | - | Unknown |
| Seaway Investment Company, Inc. CRD: 3322 | - | 2 | 0 | B | INACTIVE |