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 |
|---|---|---|---|---|---|
| Servepoint Capital LLC CRD: 340106 | - | 0 | 1 | - | Unknown |
| Service Asset Management Company CRD: 47157 | - | 6 | 0 | C | INACTIVE |
| Service ONE Financial CRD: 149137 | - | 0 | 2 | - | Unknown |
| Service Provider Capital CRD: 174240 | - | 0 | 1 | - | Unknown |
| Servo Wealth Management LLC CRD: 159367 | - | 0 | 1 | - | Unknown |
| SES Capital Advisors, Inc. CRD: 152896 | - | 0 | 0 | A | INACTIVE |
| Sesame Capital LLC CRD: 288404 | - | 0 | 0 | - | Unknown |
| Seslia Securities CRD: 30624 | - | 1 | 2 | B | INACTIVE |
| Sessa Capital CRD: 166403 | - | 0 | 1 | - | Unknown |
| Sestante Capital LLC CRD: 314470 | - | 0 | 1 | - | Unknown |
| Sestante Family Office CRD: 335152 | - | 0 | 1 | - | Unknown |
| Setarcos Wealth Advisors LLC CRD: 157930 | - | 0 | 3 | - | Unknown |
| Seterios Wealth Advisors, LLC CRD: 322824 | - | 0 | 1 | - | Unknown |
| Seth Heine LLC CRD: 326952 | - | 0 | 1 | - | Unknown |
| Seth Wealth Management CRD: 317915 | - | 0 | 0 | - | Unknown |
| Sethi Financial Investments, Inc. CRD: 129292 | - | 1 | 0 | B | INACTIVE |
| Sethia Group - Fzco CRD: 337298 | - | 0 | 0 | - | Unknown |
| Setia Partners Limited CRD: 288926 | - | 0 | 0 | - | Unknown |
| Seton Securities Group, Inc. CRD: 18044 | - | 11 | 0 | D | INACTIVE |
| Setpoint Capital CRD: 328702 | - | 0 | 1 | - | Unknown |
| Settanni Financial LLC CRD: 298989 | - | 0 | 2 | - | Unknown |
| Setter Capital Inc. CRD: 141652 | - | 0 | 0 | A | Active |
| Settian Capital LP CRD: 297691 | - | 0 | 1 | - | Unknown |
| Settlement Capital Advisors CRD: 155250 | - | 0 | 1 | - | Unknown |
| Settles Financial Investments, Inc. CRD: 19543 | - | 0 | 0 | A | INACTIVE |
| Seva Funds, LLC CRD: 335010 | - | 0 | 1 | - | Unknown |
| Seva Growth LP CRD: 328067 | - | 0 | 1 | - | Unknown |
| Seva Wealth Management CRD: 338344 | - | 0 | 1 | - | Unknown |
| Seven Bridges Advisors LLC CRD: 158722 | - | 0 | 1 | - | Unknown |
| Seven Eight Capital, LP CRD: 170624 | - | 0 | 0 | - | Unknown |
| Seven Grand Managers LLC CRD: 310026 | - | 0 | 1 | - | Unknown |
| Seven Harbour Global, LP CRD: 170989 | - | 0 | 0 | - | Unknown |
| Seven Hill Tech Ventures LLC CRD: 338508 | - | 0 | 1 | - | Unknown |
| Seven Hills Capital Advisors CRD: 175280 | - | 0 | 1 | - | Unknown |
| Seven Hills Capital Corp. CRD: 338305 | - | 0 | 0 | - | Unknown |
| Seven Hills Capital Management, Inc. CRD: 130547 | - | 0 | 0 | - | Unknown |
| Seven Hills Capital Management, LLC CRD: 342528 | - | 0 | 1 | - | Unknown |
| Seven Hills Capital, LLC CRD: 329293 | - | 0 | 1 | - | Unknown |
| Seven Hills Financial, LLC CRD: 143190 | - | 0 | 1 | - | Unknown |
| Seven Hills Partners LLC CRD: 118240 | - | 0 | 0 | A | INACTIVE |
| Seven Locks Capital Management LP CRD: 160532 | - | 0 | 0 | - | Unknown |
| Seven Mile Advisory LLC CRD: 324114 | - | 0 | 3 | - | Unknown |
| Seven North Capital LLC CRD: 287704 | - | 0 | 1 | - | Unknown |
| Seven Oaks Financial Planning CRD: 155239 | - | 0 | 0 | - | Unknown |
| Seven Peaks Ventures Management II, LLC CRD: 289546 | - | 0 | 1 | - | Unknown |
| Seven Pines Capital, LLC CRD: 305716 | - | 0 | 1 | - | Unknown |
| Seven Point Management, Inc. CRD: 172716 | - | 0 | 1 | - | Unknown |
| Seven Points Capital, LLC CRD: 144211 | NY | 7 | 4 | B | Active |
| Seven Post Investment Office LP CRD: 157435 | - | 0 | 4 | - | Unknown |
| Seven Seas Advisors Co., Ltd. CRD: 321175 | - | 0 | 0 | - | Unknown |