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 |
|---|---|---|---|---|---|
| Selkirk Management, LLC CRD: 162808 | - | 0 | 1 | - | Unknown |
| Sellaronda Global Management LP CRD: 325400 | - | 0 | 1 | - | Unknown |
| Selleck Financial Group CRD: 289240 | - | 0 | 1 | - | Unknown |
| Seltsam, Hanni and Company, Inc. CRD: 3365 | - | 1 | 0 | B | INACTIVE |
| Selva Equities, LLC CRD: 318779 | - | 0 | 1 | - | Unknown |
| Selva Ventures CRD: 310310 | - | 0 | 1 | - | Unknown |
| Selway Asset Management, Inc. CRD: 104638 | - | 0 | 0 | - | Unknown |
| Selz Capital LLC CRD: 158232 | - | 0 | 0 | - | Unknown |
| SEM Wealth Management CRD: 112142 | - | 0 | 10 | - | Unknown |
| Sema IV Capital Management, LLC CRD: 156342 | - | 0 | 0 | - | Unknown |
| Semaphore Corporate Finance, Inc. CRD: 15882 | - | 0 | 0 | A | INACTIVE |
| Semaphore Investments CRD: 124965 | - | 0 | 1 | - | Unknown |
| Semaza Securities, LLC CRD: 139548 | - | 0 | 0 | A | INACTIVE |
| Semicolon Village Inc. CRD: 317272 | - | 0 | 1 | - | Unknown |
| Semillero Advisors, LLC CRD: 284615 | - | 0 | 1 | - | Unknown |
| Seminal Educational Investments, LLC CRD: 312854 | - | 0 | 1 | - | Unknown |
| Seminal Food and Nutrition Investments, LLC CRD: 317836 | - | 0 | 1 | - | Unknown |
| Seminal Technology Investments, LLC CRD: 334924 | - | 0 | 1 | - | Unknown |
| Seminario Securities CRD: 315218 | FL | 0 | 2 | A | Active |
| Seminars for the Advancement of Financial Educatio… CRD: 112993 | - | 0 | 1 | - | Unknown |
| Seminole Advisory Services, LLC CRD: 148975 | - | 0 | 1 | - | Unknown |
| Seminole Management Co., Inc. CRD: 160461 | - | 0 | 0 | - | Unknown |
| Semita Asset Management CRD: 226757 | - | 0 | 0 | - | Unknown |
| Semler Advising CRD: 323820 | - | 0 | 0 | - | Unknown |
| Semloh Financial, Inc. CRD: 15923 | - | 0 | 0 | A | INACTIVE |
| Semloh Financial, Inc. CRD: 134612 | - | 0 | 0 | - | Unknown |
| Semper Capital CRD: 343037 | - | 0 | 0 | - | Unknown |
| Semper Capital Management, L.P. CRD: 106297 | - | 0 | 0 | - | Unknown |
| Semper FI Wealth Partners CRD: 318424 | - | 0 | 0 | - | Unknown |
| Semper Financial CRD: 158686 | - | 0 | 3 | - | Unknown |
| Semper Inc. CRD: 316808 | - | 0 | 0 | - | Unknown |
| Semper Sursum Investments LLC CRD: 333992 | - | 0 | 1 | - | Unknown |
| Semper Wealth Management LLC CRD: 305094 | - | 0 | 1 | - | Unknown |
| Sempervirens Ventures LLC CRD: 301371 | - | 0 | 1 | - | Unknown |
| Semple Capital & Risk Management CRD: 145440 | - | 0 | 0 | - | Unknown |
| Semrod Capital LLC CRD: 300011 | - | 0 | 1 | - | Unknown |
| Semus Wealth Partners, LLC CRD: 305758 | - | 0 | 1 | - | Unknown |
| Senahill Securities, LLC CRD: 166477 | NY | 0 | 2 | A | Active |
| Senate Securities CRD: 20458 | NY | 1 | 3 | B | Active |
| Senator Investment Group LP CRD: 160935 | - | 0 | 1 | - | Unknown |
| Send V10 AL, LLC CRD: 324661 | - | 0 | 0 | - | Unknown |
| Senda Digital Assets Management, LLC CRD: 318784 | - | 0 | 1 | - | Unknown |
| Sender Company & Partners, Inc. CRD: 282319 | - | 0 | 1 | - | Unknown |
| Sendera Wealth Advisors CRD: 333652 | - | 0 | 2 | - | Unknown |
| Sendero Securities, LLC CRD: 146627 | TX | 0 | 2 | A | Active |
| Sendero Wealth Management, LLC CRD: 145594 | - | 0 | 1 | - | Unknown |
| Seneca Distributors, LLC CRD: 40143 | - | 0 | 0 | A | INACTIVE |
| Seneca Financial Group, Inc. CRD: 37732 | - | 0 | 0 | A | INACTIVE |
| Seneca Financial Services, Inc. CRD: 10493 | - | 0 | 0 | A | INACTIVE |
| Seneca House Advisors CRD: 210519 | - | 0 | 1 | - | Unknown |