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 |
|---|---|---|---|---|---|
| Sentinel Rock Capital, LLC CRD: 160058 | - | 0 | 0 | - | Unknown |
| Sentinel Rock Wealth Management LLC CRD: 163403 | - | 0 | 0 | - | Unknown |
| Sentinel Securities, Inc. CRD: 22531 | - | 0 | 0 | A | INACTIVE |
| Sentinel Securities, LLC. CRD: 110942 | MA | 1 | 3 | B | Active |
| Sentinel Ventures CRD: 327766 | - | 0 | 1 | - | Unknown |
| Sentinel Wealth Inc CRD: 122923 | - | 0 | 1 | - | Unknown |
| Sentinel Wealth Strategies CRD: 285889 | - | 0 | 1 | - | Unknown |
| Sentra Securities Corporation CRD: 10249 | - | 16 | 0 | D | INACTIVE |
| Sentry Advisors, LLC CRD: 174042 | - | 0 | 1 | - | Unknown |
| Sentry Consulting, Inc. CRD: 117190 | - | 0 | 2 | - | Unknown |
| Sentry Equity Services, Inc. CRD: 5069 | WI | 2 | 2 | B | Active |
| Sentry Investment Management, L.L.C. CRD: 105176 | - | 0 | 1 | - | Unknown |
| Sentry Investors Corporaton CRD: 153426 | - | 0 | 0 | - | Unknown |
| Sentry Management Inc CRD: 107379 | - | 0 | 1 | - | Unknown |
| Sentry Securites Corp. CRD: 10028 | - | 0 | 0 | A | INACTIVE |
| Sentry Wealth Advisors, LLC CRD: 156089 | - | 0 | 0 | - | Unknown |
| Sentry Wealth, Inc. CRD: 171345 | - | 0 | 0 | - | Unknown |
| Sentry, LLC CRD: 150593 | - | 0 | 1 | - | Unknown |
| Senvest International L.L.C. CRD: 45974 | - | 0 | 0 | A | INACTIVE |
| Senvest Management, LLC CRD: 137312 | - | 0 | 1 | - | Unknown |
| Senzible Trading L.L.C. CRD: 129799 | - | 0 | 0 | A | INACTIVE |
| SEO Capital Management LLC CRD: 321122 | - | 0 | 0 | - | Unknown |
| SEO Management AG CRD: 340869 | - | 0 | 0 | - | Unknown |
| Seoul Securities Investment Incorporated CRD: 30158 | - | 0 | 0 | A | INACTIVE |
| Seoul Securities, Ltd. CRD: 10925 | - | 0 | 0 | A | INACTIVE |
| Sepco Securities Corporation CRD: 7906 | - | 1 | 0 | B | INACTIVE |
| Sephira Investment Advisors (UK) Limited CRD: 293524 | - | 0 | 0 | - | Unknown |
| Sepio Capital, LP CRD: 285645 | - | 0 | 8 | - | Unknown |
| Sepulveda Distributors LLC CRD: 166535 | - | 0 | 0 | A | INACTIVE |
| Sepulveda Management LLC CRD: 284290 | - | 0 | 1 | - | Unknown |
| Sequams Trading Corp. CRD: 103993 | - | 1 | 0 | B | INACTIVE |
| Sequant Capital LLC CRD: 310297 | - | 0 | 0 | - | Unknown |
| Sequel Advisers LLC CRD: 333192 | - | 0 | 1 | - | Unknown |
| Sequel Holdings, L.P. CRD: 170237 | - | 0 | 1 | - | Unknown |
| Sequel Venture Partners, LLC CRD: 162414 | - | 0 | 0 | - | Unknown |
| Sequence Analytix, LLC CRD: 299581 | - | 0 | 1 | - | Unknown |
| Sequence Equity Management, LLC CRD: 329429 | - | 0 | 0 | - | Unknown |
| Sequence Financial Specialists LLC CRD: 132915 | SC | 1 | 4 | B | Active |
| Sequence Wealth Management CRD: 325470 | - | 0 | 0 | - | Unknown |
| Sequent Planning, LLC CRD: 160381 | - | 0 | 92 | - | Unknown |
| Sequentis Capital LLC CRD: 298533 | - | 0 | 2 | - | Unknown |
| Sequinox Wealth Advisors, LLC. CRD: 299025 | - | 0 | 0 | - | Unknown |
| Sequoia Associates CRD: 15735 | - | 0 | 0 | A | INACTIVE |
| Sequoia Capital IV Israel Ltd. CRD: 161213 | - | 0 | 0 | - | Unknown |
| Sequoia Capital Operations, LLC CRD: 157373 | - | 0 | 1 | - | Unknown |
| Sequoia Equities Securities Corporation CRD: 13848 | CA | 1 | 2 | B | Active |
| Sequoia Financial Group, L.L.C. CRD: 117756 | - | 0 | 215 | - | Unknown |
| Sequoia Financial, LLC CRD: 304388 | - | 0 | 1 | - | Unknown |
| Sequoia Investments, Inc. CRD: 39341 | - | 2 | 0 | B | INACTIVE |
| Sequoia S.F.A. CRD: 158031 | - | 0 | 0 | - | Unknown |