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 |
|---|---|---|---|---|---|
| Seawell Wyand Capital,Inc. CRD: 15444 | - | 0 | 0 | A | INACTIVE |
| Seawise Financial, Inc. CRD: 298012 | - | 0 | 1 | - | Unknown |
| Seawolf Capital, LLC CRD: 160312 | - | 0 | 0 | - | Unknown |
| Seawolf Capital, LLC CRD: 333207 | - | 0 | 0 | - | Unknown |
| Seawoulfe Partners, Ltd. CRD: 30552 | - | 0 | 0 | A | INACTIVE |
| SEB Financial Services, LLC CRD: 140881 | - | 0 | 4 | - | Unknown |
| SEB Securities, Inc. CRD: 23710 | NY | 0 | 2 | A | Active |
| Sebetic Advisors, LLC CRD: 306261 | - | 0 | 1 | - | Unknown |
| Secfi Advisory Limited CRD: 306961 | - | 0 | 6 | - | Unknown |
| Secfi Limited CRD: 289793 | - | 0 | 0 | - | Unknown |
| Secfi Securities, LLC CRD: 302112 | NY | 0 | 2 | A | Active |
| Secfin Securities, Inc. CRD: 2718 | - | 0 | 0 | A | INACTIVE |
| Sechrest Financial Services CRD: 128688 | - | 0 | 1 | - | Unknown |
| Seco Securities, Inc. CRD: 5363 | - | 0 | 0 | A | INACTIVE |
| Seco West Limited CRD: 7637 | - | 1 | 0 | B | INACTIVE |
| Second 50 Financial CRD: 318626 | - | 0 | 1 | - | Unknown |
| Second Alpha Partners CRD: 282418 | - | 0 | 1 | - | Unknown |
| Second Avenue Capital CRD: 141998 | - | 0 | 1 | - | Unknown |
| Second Century Ventures GP I, LLC CRD: 333148 | - | 0 | 1 | - | Unknown |
| Second City General Partner II Limited Partnership CRD: 162810 | - | 0 | 0 | - | Unknown |
| Second City Real Estate GP II, Limited Partnership CRD: 171083 | - | 0 | 0 | - | Unknown |
| Second City Trading, L.L.C. CRD: 47150 | - | 0 | 0 | A | INACTIVE |
| Second Curve Capital, LLC CRD: 161774 | - | 0 | 0 | - | Unknown |
| Second District Securities Co., Inc. CRD: 20335 | - | 0 | 0 | A | INACTIVE |
| Second Foundation Partners, LLC CRD: 301270 | - | 0 | 0 | - | Unknown |
| Second Half Financial Partners, LLC CRD: 163454 | - | 0 | 3 | - | Unknown |
| Second LAW Capital CRD: 338272 | - | 0 | 1 | - | Unknown |
| Second Line Capital, LLC CRD: 324386 | - | 0 | 8 | - | Unknown |
| Second Look Financial, LLC. CRD: 128028 | - | 0 | 2 | - | Unknown |
| Second Mountain Financial, Inc. CRD: 152493 | - | 0 | 1 | - | Unknown |
| Second Nature Investments LLC CRD: 285600 | - | 0 | 0 | - | Unknown |
| Second Opinion Financial CRD: 327921 | - | 0 | 1 | - | Unknown |
| Second Order Capital Management, LLC CRD: 317508 | - | 0 | 0 | - | Unknown |
| Second Phase Capital LLC CRD: 171176 | - | 0 | 0 | - | Unknown |
| Second Sight Ventures LLC CRD: 326585 | - | 0 | 1 | - | Unknown |
| Second Street Securities, Inc. CRD: 42404 | CA | 1 | 3 | B | Active |
| Second Summit Wealth Management, LLC CRD: 317984 | - | 0 | 2 | - | Unknown |
| SECONDHORIZON.COM CRD: 244786 | - | 0 | 0 | - | Unknown |
| Secor Investment Advisors, LP CRD: 155235 | - | 0 | 0 | - | Unknown |
| Secretx Assets CRD: 324067 | - | 0 | 1 | - | Unknown |
| Section 32, LLC CRD: 288739 | - | 0 | 1 | - | Unknown |
| Section Capital Management, LP CRD: 288581 | - | 0 | 0 | - | Unknown |
| Sector Analysts LLC CRD: 169789 | - | 0 | 1 | - | Unknown |
| Sector Fund Services as CRD: 174702 | - | 0 | 0 | - | Unknown |
| Sector Gamma as CRD: 162703 | - | 0 | 0 | - | Unknown |
| Sector Logic, LP CRD: 143470 | - | 0 | 2 | - | Unknown |
| Sector Omega as CRD: 138079 | - | 0 | 0 | - | Unknown |
| Secu Brokerage Services CRD: 19899 | NC | 7 | 280 | B | Active |
| Secura Financial CRD: 137324 | - | 0 | 5 | - | Unknown |
| Securawealth CRD: 154000 | - | 0 | 1 | - | Unknown |