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 |
|---|---|---|---|---|---|
| Sequoia Trading Inc. CRD: 115808 | - | 1 | 0 | B | INACTIVE |
| Sequoia Wealth Advisors & Investment Management, I… CRD: 285462 | - | 0 | 0 | - | Unknown |
| Sequoia Wealth Management CRD: 226593 | - | 0 | 0 | - | Unknown |
| Sequoia Wealth Management Group CRD: 311268 | - | 0 | 2 | - | Unknown |
| Sequoia Wealth Management, LLC CRD: 170543 | - | 0 | 15 | - | Unknown |
| Sequoia Wealth, LLC CRD: 170044 | - | 0 | 0 | - | Unknown |
| Sequoyah Securities Corp. CRD: 11036 | - | 0 | 0 | A | INACTIVE |
| Sera Global Securities US LLC CRD: 283339 | GA | 0 | 2 | A | Active |
| Serac Venture Management LLC CRD: 334450 | - | 0 | 1 | - | Unknown |
| Serafima Investments, LP CRD: 291153 | - | 0 | 0 | - | Unknown |
| Seraphim Space Manager LLP CRD: 330887 | - | 0 | 0 | - | Unknown |
| Seraphim Wealth Advisors, Inc. CRD: 309457 | - | 0 | 1 | - | Unknown |
| Seraya Investment PTE. Ltd. CRD: 321098 | - | 0 | 0 | - | Unknown |
| Serco Investments Inc. CRD: 113879 | - | 0 | 1 | - | Unknown |
| Serendipequity CRD: 283174 | - | 0 | 0 | - | Unknown |
| Serendipity Impact VC, LLC CRD: 335697 | - | 0 | 0 | - | Unknown |
| Serendipity Securities LLC CRD: 333010 | FL | 0 | 2 | A | Active |
| Serene Financial Solutions CRD: 307284 | - | 0 | 1 | - | Unknown |
| Serene Growth Partners LLC CRD: 269929 | - | 0 | 1 | - | Unknown |
| Serene Point Advisors LLC CRD: 309433 | - | 0 | 2 | - | Unknown |
| Serene Wealth Planning, LLC CRD: 304903 | - | 0 | 1 | - | Unknown |
| Serenity Capital LLC CRD: 286253 | - | 0 | 0 | - | Unknown |
| Serenity Investment Advisors CRD: 307924 | - | 0 | 3 | - | Unknown |
| Serenity Onchain, LLC CRD: 314969 | - | 0 | 0 | - | Unknown |
| Serenity Partners, Inc. CRD: 137102 | - | 0 | 0 | - | Unknown |
| Serenity Retirement Advisors, LLC CRD: 282819 | - | 0 | 0 | - | Unknown |
| Serenity Wealth Advisors LLC CRD: 300394 | - | 0 | 1 | - | Unknown |
| Serenityshares CRD: 286549 | - | 0 | 0 | - | Unknown |
| Serent Capital Management Company, L.L.C. CRD: 160292 | - | 0 | 1 | - | Unknown |
| Serenus Wealth Advisors, LLC CRD: 332034 | - | 0 | 2 | - | Unknown |
| Seres Capital Limited CRD: 325491 | - | 0 | 0 | - | Unknown |
| Serfin Securities,Inc. CRD: 16683 | - | 0 | 0 | A | INACTIVE |
| Sergey Bondarenko Sole Proprietorship CRD: 305421 | - | 0 | 0 | - | Unknown |
| Series X Capital CRD: 335150 | - | 0 | 1 | - | Unknown |
| Seriesone Securities, LLC CRD: 297799 | - | 1 | 0 | B | INACTIVE |
| Serna Securities, Inc. CRD: 126247 | - | 0 | 0 | - | Unknown |
| Seros Wealth Partners CRD: 166808 | - | 0 | 1 | - | Unknown |
| Serra Securities CRD: 8126 | - | 0 | 0 | A | INACTIVE |
| Serra Ventures, LLC CRD: 301961 | - | 0 | 1 | - | Unknown |
| Serrado Capital LLC CRD: 170304 | - | 0 | 0 | - | Unknown |
| Serrino Trading II LLC CRD: 127603 | - | 0 | 0 | A | INACTIVE |
| Serrino Trading Inc. CRD: 47983 | - | 0 | 0 | A | INACTIVE |
| Servant Financial, Ltd. CRD: 135183 | - | 0 | 2 | - | Unknown |
| Servant Wealth Management LLC CRD: 172666 | - | 0 | 1 | - | Unknown |
| Servant Wealth Management, LLC CRD: 328932 | - | 0 | 1 | - | Unknown |
| Servant's Heart Financial Planning CRD: 337719 | - | 0 | 1 | - | Unknown |
| Servatus Capital CRD: 311428 | - | 0 | 2 | - | Unknown |
| Servco Pacific Capital, LLC CRD: 282435 | - | 0 | 0 | - | Unknown |
| Servco Securities Corp. CRD: 6909 | - | 0 | 0 | A | INACTIVE |
| Serve Capital Partners CRD: 284027 | - | 0 | 1 | - | Unknown |