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 |
|---|---|---|---|---|---|
| Seed Money Consulting CRD: 306209 | - | 0 | 1 | - | Unknown |
| Seed to Harvest Ventures, LLC CRD: 322043 | - | 0 | 0 | - | Unknown |
| Seed Wealth Management, Inc. CRD: 171920 | - | 0 | 1 | - | Unknown |
| Seedfolio LLC CRD: 314159 | - | 0 | 1 | - | Unknown |
| Seedling Capital, LLC CRD: 163095 | - | 0 | 0 | - | Unknown |
| Seeds CRD: 308909 | - | 0 | 1 | - | Unknown |
| Seeds Wealth Advisors, LLC CRD: 325323 | - | 0 | 0 | - | Unknown |
| Seedsafe Financial LLC CRD: 283887 | - | 0 | 4 | - | Unknown |
| Seedtime Financial LLC CRD: 297787 | - | 0 | 0 | - | Unknown |
| Seek & Find Financial CRD: 335231 | - | 0 | 1 | - | Unknown |
| Seek First Inc. CRD: 312546 | - | 0 | 4 | - | Unknown |
| Seek the Plan CRD: 304799 | - | 0 | 2 | - | Unknown |
| Seeker Financial LLC CRD: 330481 | - | 0 | 1 | - | Unknown |
| Seelaus Asset Management, LLC CRD: 149582 | - | 0 | 11 | - | Unknown |
| Seemala Partners, L.P. CRD: 17946 | - | 0 | 0 | A | INACTIVE |
| Seen Consulting LLC CRD: 293724 | - | 0 | 1 | - | Unknown |
| Seer Capital Management LP CRD: 152164 | - | 0 | 1 | - | Unknown |
| SEF Financial CRD: 173923 | - | 0 | 1 | - | Unknown |
| Seff Investments CRD: 122749 | - | 0 | 0 | - | Unknown |
| Sefton Financial Planning CRD: 166187 | - | 0 | 1 | - | Unknown |
| SEG Capital L.L.C. CRD: 130673 | - | 2 | 0 | B | INACTIVE |
| Segal Marco Advisors CRD: 114687 | - | 0 | 1 | - | Unknown |
| Segall Bryant & Hamill CRD: 106505 | - | 0 | 2 | - | Unknown |
| Segantii Capital Management (Cayman) Limited CRD: 286144 | - | 0 | 0 | - | Unknown |
| Segantii Capital Management (UK) Limited CRD: 292025 | - | 0 | 0 | - | Unknown |
| Segantii Capital Management (USA) LLC CRD: 310058 | - | 0 | 0 | - | Unknown |
| Seger Financial, Inc. CRD: 31000 | - | 2 | 0 | B | INACTIVE |
| Segerdahl & Company, Inc. CRD: 39590 | - | 0 | 0 | A | INACTIVE |
| Segjam, LLC CRD: 321262 | - | 0 | 1 | - | Unknown |
| Sego Wealth Management, LLC CRD: 304193 | - | 0 | 2 | - | Unknown |
| Segrave, Turlough William CRD: 136695 | - | 3 | 0 | C | INACTIVE |
| Segue Investments, LLC CRD: 146414 | - | 0 | 0 | - | Unknown |
| Segue Special Situations Group LLC CRD: 283083 | - | 0 | 0 | - | Unknown |
| Seguin Fund Management LP CRD: 334583 | - | 0 | 1 | - | Unknown |
| Seguin Partners CRD: 162839 | - | 0 | 0 | - | Unknown |
| Segulah Management IV Limited CRD: 162128 | - | 0 | 0 | - | Unknown |
| SEI Investments Distribution Co. CRD: 10690 | PA | 4 | 4 | C | Active |
| SEI Investments Management Corp CRD: 105146 | - | 0 | 67 | - | Unknown |
| SEI Securities, Inc. CRD: 10540 | - | 0 | 0 | A | INACTIVE |
| Seia CRD: 108163 | - | 0 | 84 | - | Unknown |
| Seibt Financial Services, Inc CRD: 23472 | - | 4 | 0 | C | INACTIVE |
| Seidel & Co., LLC CRD: 42821 | - | 3 | 0 | C | INACTIVE |
| Seidler Equity Partners CRD: 156909 | - | 0 | 1 | - | Unknown |
| Seidman Investment Portfolios CRD: 106894 | - | 0 | 1 | - | Unknown |
| Seidman Private Securities LLC CRD: 125051 | - | 0 | 0 | A | INACTIVE |
| Seidner Securities CRD: 10439 | - | 0 | 0 | A | INACTIVE |
| Seifdune Management, LP CRD: 330426 | - | 0 | 1 | - | Unknown |
| Seiff & Company LLC CRD: 172331 | - | 0 | 0 | - | Unknown |
| Seigel, Sean D. CRD: 112173 | - | 0 | 0 | A | INACTIVE |
| Seil Wealth Management, LLC CRD: 311651 | - | 0 | 0 | - | Unknown |