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 |
|---|---|---|---|---|---|
| Seven SIX Capital Management, LLC CRD: 299257 | - | 0 | 1 | - | Unknown |
| Seven Springs Wealth Group CRD: 127411 | - | 0 | 2 | - | Unknown |
| Seven Stars Ventures Management, LLC CRD: 336685 | - | 0 | 1 | - | Unknown |
| Seven Story Capital, LLC CRD: 341784 | - | 0 | 1 | - | Unknown |
| Seven Summits Investment Consulting CRD: 305809 | - | 0 | 0 | - | Unknown |
| Seven TWO Partners CRD: 297575 | - | 0 | 0 | - | Unknown |
| Seven TWO Partners LLC CRD: 155328 | - | 0 | 0 | - | Unknown |
| Seven Voyagers Management Ltd. CRD: 311535 | - | 0 | 0 | - | Unknown |
| Seven Wealth Management CRD: 281575 | - | 0 | 0 | - | Unknown |
| Seven2 SAS CRD: 164876 | - | 0 | 0 | - | Unknown |
| Sevenbridge Financial Group, LLC CRD: 281037 | - | 0 | 3 | - | Unknown |
| Sevenpoint Partners LLC CRD: 333073 | NJ | 0 | 3 | A | Active |
| Seventh Management, Inc. CRD: 21863 | - | 0 | 0 | A | INACTIVE |
| Seventh Street Partners GP LLC CRD: 121659 | - | 0 | 0 | - | Unknown |
| Seventure Partners CRD: 299870 | - | 0 | 0 | - | Unknown |
| Seventysix Capital CRD: 163284 | - | 0 | 0 | - | Unknown |
| Seventysix Capital CRD: 295672 | - | 0 | 0 | - | Unknown |
| Seventysix Capital CRD: 336448 | - | 0 | 1 | - | Unknown |
| Sevenwealth LLC CRD: 338710 | - | 0 | 1 | - | Unknown |
| Severin Investments LLC CRD: 166567 | - | 0 | 5 | - | Unknown |
| Severn Financial Advisors, LLC CRD: 121625 | - | 0 | 1 | - | Unknown |
| Sevey Wealth Advisors CRD: 324450 | - | 0 | 1 | - | Unknown |
| Seville Capital, Inc. CRD: 13015 | - | 1 | 0 | B | INACTIVE |
| Seville Securities Ltd. CRD: 15103 | - | 0 | 0 | A | INACTIVE |
| Sevin Rosen Funds CRD: 160409 | - | 0 | 1 | - | Unknown |
| Seward Capital LLC CRD: 313099 | - | 0 | 0 | - | Unknown |
| Seward Capital LLC CRD: 301202 | - | 0 | 0 | - | Unknown |
| Seward Securities, Inc. CRD: 21894 | - | 0 | 0 | A | INACTIVE |
| Seward, Groves, Richard & Wells, Inc. CRD: 17963 | - | 6 | 0 | D | INACTIVE |
| Sewickley Financial LLC CRD: 172459 | - | 0 | 1 | - | Unknown |
| Sextant Securities, LLC CRD: 283937 | NY | 0 | 2 | A | Active |
| Seymour Chapnick CRD: 1439 | - | 0 | 0 | A | INACTIVE |
| Seymour Hayman & Co. CRD: 2157 | - | 0 | 0 | A | INACTIVE |
| SF Advisers, LLC CRD: 316518 | - | 0 | 1 | - | Unknown |
| SF Advisors CRD: 164838 | - | 0 | 0 | - | Unknown |
| SF Benefits CRD: 143553 | - | 0 | 0 | - | Unknown |
| SF Equity Partners Management, LLC CRD: 162396 | - | 0 | 1 | - | Unknown |
| SF Investments, Inc. CRD: 6564 | IL | 4 | 2 | B | Active |
| SF Planning Group LLC CRD: 331145 | - | 0 | 1 | - | Unknown |
| SF Value Capital, LLC CRD: 298320 | - | 0 | 1 | - | Unknown |
| SFA Financial, LLC CRD: 149647 | - | 0 | 0 | A | INACTIVE |
| SFC Energy Partners CRD: 162431 | - | 0 | 0 | - | Unknown |
| SFC Equities Inc. CRD: 5857 | - | 0 | 0 | A | INACTIVE |
| SFC Financial LLC CRD: 129817 | - | 0 | 4 | - | Unknown |
| SFD Capital LLC CRD: 285204 | - | 0 | 0 | - | Unknown |
| SFE Advisors, LLC CRD: 325223 | - | 0 | 1 | - | Unknown |
| SFE Investment Counsel Inc. CRD: 145530 | - | 0 | 9 | - | Unknown |
| Sfermion CRD: 317207 | - | 0 | 1 | - | Unknown |
| SFG Brokerage Company CRD: 18169 | - | 0 | 0 | A | INACTIVE |
| SFG Investment Advisors, Inc. CRD: 111241 | - | 0 | 0 | - | Unknown |