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 |
|---|---|---|---|---|---|
| Seneca Private Wealth, LLC CRD: 334161 | - | 0 | 2 | - | Unknown |
| Seneca Securities, Inc. CRD: 41530 | - | 0 | 0 | A | INACTIVE |
| Seneca Wealth Advisors, LLC CRD: 330699 | - | 0 | 1 | - | Unknown |
| Seneschal Family Office CRD: 131618 | - | 0 | 1 | - | Unknown |
| Senet Capital Partners, LP CRD: 179540 | - | 0 | 0 | - | Unknown |
| Sengu Capital Limited CRD: 333451 | - | 0 | 0 | - | Unknown |
| Senior Advisor Group CRD: 134413 | - | 0 | 0 | - | Unknown |
| Senior Advisory Group, LLC CRD: 144380 | - | 0 | 1 | - | Unknown |
| Senior Financial and Realty Assoc. CRD: 126404 | - | 0 | 1 | - | Unknown |
| Senior Financial Group LLC CRD: 297236 | - | 0 | 0 | - | Unknown |
| Senior Financial Strategies CRD: 316710 | - | 0 | 0 | - | Unknown |
| Senior Management Group, LLC CRD: 123928 | - | 0 | 0 | - | Unknown |
| Senior Security Advisors, LLC CRD: 165669 | - | 0 | 0 | - | Unknown |
| Senior TAX Advisory Group CRD: 305375 | - | 0 | 0 | - | Unknown |
| Senior TAX Advisory Group, Inc. CRD: 318058 | - | 0 | 3 | - | Unknown |
| Seniormark, LLC CRD: 152216 | - | 0 | 1 | - | Unknown |
| Seniors Housing Fund Manager LLC CRD: 334006 | - | 0 | 1 | - | Unknown |
| Seniorsolutions CRD: 141878 | - | 0 | 1 | - | Unknown |
| Sennett Investment Counseling, Inc. CRD: 132013 | - | 0 | 0 | - | Unknown |
| Sennosen LLC CRD: 300699 | - | 0 | 0 | - | Unknown |
| Senrigan CRD: 162009 | - | 0 | 0 | - | Unknown |
| Sensato Investors LLC CRD: 153334 | - | 0 | 0 | - | Unknown |
| Sensiba SAN Filippo Financial Advisers LLC CRD: 129412 | - | 0 | 0 | - | Unknown |
| Sensible Financial Solutions, LLC CRD: 287486 | - | 0 | 1 | - | Unknown |
| Sensible Investment Strategies, LLC CRD: 128079 | - | 0 | 2 | - | Unknown |
| Sensible Investments Inc CRD: 106418 | - | 0 | 0 | - | Unknown |
| Sensible Money, LLC CRD: 158641 | - | 0 | 5 | - | Unknown |
| Sensible Portfolios, LLC CRD: 121045 | - | 0 | 2 | - | Unknown |
| Senstomi CRD: 336311 | - | 0 | 1 | - | Unknown |
| Sensus Investment Management CRD: 145961 | - | 0 | 1 | - | Unknown |
| Sensus Wealth Management Group LLC CRD: 153357 | - | 0 | 1 | - | Unknown |
| Sentara Capital CRD: 161132 | - | 0 | 1 | - | Unknown |
| Senterprise Capital LLC CRD: 170760 | - | 0 | 0 | - | Unknown |
| Sentient Equity Partners CRD: 296269 | - | 0 | 0 | - | Unknown |
| Sentient Financial, LLC CRD: 292766 | - | 0 | 1 | - | Unknown |
| Sentient Investment Management LLC CRD: 282789 | - | 0 | 0 | - | Unknown |
| Sentinel Advisors, Inc. CRD: 219 | - | 0 | 0 | A | INACTIVE |
| Sentinel Advisors, LLC CRD: 291606 | - | 0 | 0 | - | Unknown |
| Sentinel Advisory Corp CRD: 108720 | - | 0 | 2 | - | Unknown |
| Sentinel Advisory Group, LLC CRD: 338121 | - | 0 | 1 | - | Unknown |
| Sentinel Advisory Services, LLC CRD: 149978 | - | 0 | 0 | - | Unknown |
| Sentinel Alternative Asset Management, LLC CRD: 162233 | - | 0 | 1 | - | Unknown |
| Sentinel Brokers Company, Inc. CRD: 40305 | FL | 1 | 3 | B | Active |
| Sentinel Capital Partners, L.L.C. CRD: 160474 | - | 0 | 1 | - | Unknown |
| Sentinel Capital Solutions CRD: 157844 | - | 0 | 0 | - | Unknown |
| Sentinel Dome Partners, LLC CRD: 172019 | - | 0 | 1 | - | Unknown |
| Sentinel Financial CRD: 174324 | - | 0 | 1 | - | Unknown |
| Sentinel Financial Services Company CRD: 31175 | - | 1 | 0 | B | INACTIVE |
| Sentinel Fund Advisors, Inc. CRD: 327262 | - | 0 | 1 | - | Unknown |
| Sentinel Global CRD: 326444 | - | 0 | 1 | - | Unknown |