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 |
|---|---|---|---|---|---|
| SGL Investment Advisors, Inc. CRD: 145167 | - | 0 | 1 | - | Unknown |
| SGM Securities, Inc. CRD: 13972 | - | 0 | 0 | A | INACTIVE |
| Sgma Capital Markets Limited CRD: 135327 | NY | 0 | 2 | A | Active |
| SGMG Enterprise LLC CRD: 139552 | - | 0 | 1 | - | Unknown |
| SGP Securities, LLC CRD: 328824 | NY | 0 | 2 | A | Active |
| Sgroi Wealth Advisory Group LLC CRD: 289764 | - | 0 | 1 | - | Unknown |
| SGT Capital CRD: 316133 | - | 0 | 0 | - | Unknown |
| SGT Capital AG CRD: 332633 | - | 0 | 0 | - | Unknown |
| SGU Holdings GP Corporation CRD: 297286 | - | 0 | 0 | - | Unknown |
| SH Fund CRD: 325479 | - | 0 | 1 | - | Unknown |
| SH Investment & Securities CRD: 123074 | - | 6 | 0 | D | INACTIVE |
| SHA Advisory CRD: 330626 | - | 0 | 2 | - | Unknown |
| Shade Tree Advisors LLC CRD: 289905 | - | 0 | 3 | - | Unknown |
| Shade Tree Partners LLC CRD: 150865 | - | 0 | 1 | - | Unknown |
| Shadow Lake Partners, LLC CRD: 325186 | - | 0 | 1 | - | Unknown |
| Shadow Ventures, LLC CRD: 325022 | - | 0 | 1 | - | Unknown |
| Shadow Wealth Management, LLC CRD: 297588 | - | 0 | 1 | - | Unknown |
| Shadowbox Logistics CRD: 342272 | - | 0 | 1 | - | Unknown |
| Shadowfall Capital & Research LLP CRD: 300174 | - | 0 | 0 | - | Unknown |
| Shadowridge Value LLC CRD: 309939 | - | 0 | 0 | - | Unknown |
| Shaffer Capital CRD: 150106 | - | 0 | 1 | - | Unknown |
| Shafter, Ethel a. CRD: 125699 | - | 0 | 0 | - | Unknown |
| Shagawat Financial Advisors, LLC DBA Windfall Weal… CRD: 288056 | - | 0 | 0 | - | Unknown |
| Shah Capital Management CRD: 133941 | - | 0 | 2 | - | Unknown |
| Shah TAX and Financial Planning CRD: 291763 | - | 0 | 1 | - | Unknown |
| Shah Wealth Advisors CRD: 340644 | - | 0 | 1 | - | Unknown |
| Shah, Rooshil CRD: 314032 | - | 0 | 0 | - | Unknown |
| Shaker Financial Services CRD: 121534 | - | 0 | 3 | - | Unknown |
| Shaker Investments CRD: 119135 | - | 0 | 3 | - | Unknown |
| Shakti Capital, LLC CRD: 315201 | - | 0 | 1 | - | Unknown |
| Shalit, Ilan Jonathan CRD: 103856 | - | 0 | 0 | A | INACTIVE |
| Shaller Associates CRD: 128543 | - | 0 | 2 | - | Unknown |
| Shalom Global Capital Group LLC CRD: 309315 | - | 0 | 1 | - | Unknown |
| Shamrock Advisory Group LLC CRD: 151374 | - | 0 | 0 | - | Unknown |
| Shamrock Financial Services CRD: 151857 | - | 0 | 2 | - | Unknown |
| Shamrock Global Management, LP CRD: 311326 | - | 0 | 0 | - | Unknown |
| Shamrock Partners, Ltd CRD: 23955 | - | 14 | 0 | D | INACTIVE |
| Shamrock Partners, Ltd. CRD: 20033 | - | 0 | 0 | A | INACTIVE |
| Shamrock Trading Group LLC CRD: 136513 | - | 0 | 0 | A | INACTIVE |
| Shamus Group, Inc. CRD: 5036 | - | 0 | 0 | A | INACTIVE |
| Shanahan, William CRD: 44378 | - | 0 | 0 | A | INACTIVE |
| Shaner & Company, Inc. CRD: 35916 | - | 0 | 0 | A | INACTIVE |
| Shaner Associates CRD: 31746 | - | 2 | 0 | B | INACTIVE |
| Shangbay Capital Management Company, LLC CRD: 312767 | - | 0 | 1 | - | Unknown |
| Shanghai Chang Ling Chong Luan Consulting Limited CRD: 308068 | - | 0 | 0 | - | Unknown |
| Shanghai Chuangjianghui Information Technology Co.… CRD: 282749 | - | 0 | 0 | - | Unknown |
| Shanghai Fosun Chuangfu Equity Investment Manageme… CRD: 170015 | - | 0 | 0 | - | Unknown |
| Shanghai Goku Technologies Limited CRD: 329355 | - | 0 | 0 | - | Unknown |
| Shanghai Mingshi Investment Management Co., Ltd CRD: 306280 | - | 0 | 0 | - | Unknown |
| Shanghai Principle Equity Investment Management Co… CRD: 284988 | - | 0 | 0 | - | Unknown |