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 |
|---|---|---|---|---|---|
| Shanghai Shenyi Investment Co Ltd CRD: 288228 | - | 0 | 0 | - | Unknown |
| Shankervalleau Wealth Advisors, Inc. CRD: 117527 | - | 0 | 4 | - | Unknown |
| Shanley & Associates, Inc. CRD: 133321 | - | 0 | 0 | - | Unknown |
| Shanley & Associates, Inc. CRD: 282451 | - | 0 | 0 | - | Unknown |
| Shanna Securities, Inc. CRD: 15981 | - | 0 | 0 | A | INACTIVE |
| Shannah L. Compton, CFP®, MBA CRD: 165061 | - | 0 | 1 | - | Unknown |
| Shannon Advisors LLC CRD: 150305 | IL | 0 | 3 | A | Active |
| Shannon Brook Farms, Inc. CRD: 14341 | - | 0 | 0 | A | INACTIVE |
| Shannon Investment Management CRD: 174100 | - | 0 | 2 | - | Unknown |
| Shannon River Fund Management, LLC CRD: 161538 | - | 0 | 1 | - | Unknown |
| Shanti Capital LLC CRD: 152567 | - | 0 | 1 | - | Unknown |
| Shanzer Management CRD: 124452 | - | 0 | 2 | - | Unknown |
| Shapers CRD: 336435 | - | 0 | 0 | - | Unknown |
| Shapiro Asset Management, LLC CRD: 146104 | - | 0 | 1 | - | Unknown |
| Shapiro Financial Security Group, Inc. CRD: 120801 | - | 0 | 2 | - | Unknown |
| Shapiro, Barbara CRD: 133327 | - | 0 | 0 | - | Unknown |
| Shapiro, Carter & Company, Inc. CRD: 25344 | - | 0 | 0 | A | INACTIVE |
| Shaps, Robert Sidney CRD: 35790 | - | 0 | 0 | A | INACTIVE |
| Sharding Advisers LLC CRD: 306829 | - | 0 | 1 | - | Unknown |
| Share CRD: 326052 | - | 0 | 0 | - | Unknown |
| Share and Harris, L.L.C. CRD: 122770 | - | 0 | 2 | - | Unknown |
| Share Financial Services, Inc. CRD: 11226 | TX | 3 | 3 | B | Active |
| Share King, LLC CRD: 33150 | - | 5 | 0 | C | INACTIVE |
| Share Ventures Fund Management, LLC CRD: 322657 | - | 0 | 1 | - | Unknown |
| Shareamerica CRD: 21061 | - | 0 | 0 | A | INACTIVE |
| Sharebuilder 401K CRD: 300537 | - | 0 | 8 | - | Unknown |
| Shared Prosperity Group CRD: 338743 | - | 0 | 1 | - | Unknown |
| Shared Vision Wealth Group CRD: 325000 | - | 0 | 1 | - | Unknown |
| Shared Visions Opportunities, Inc. CRD: 23789 | - | 0 | 0 | A | INACTIVE |
| Sharegain Securities Inc. CRD: 318555 | NY | 0 | 2 | A | Active |
| Sharegro Inc CRD: 307197 | - | 0 | 0 | - | Unknown |
| Shareholder Services Corp. CRD: 22522 | - | 0 | 0 | A | INACTIVE |
| Shareholderonline, Inc. CRD: 103918 | - | 0 | 0 | A | INACTIVE |
| Shareholders Service Group, LLC CRD: 125226 | CA | 2 | 2 | B | Active |
| Shareks Stock Portfolios CRD: 144822 | - | 0 | 2 | - | Unknown |
| Sharemaster CRD: 24019 | - | 1 | 0 | B | INACTIVE |
| Sharenett Securities LLC CRD: 151011 | NY | 0 | 2 | A | Active |
| Sharevest Advisors LLC CRD: 313467 | - | 0 | 0 | - | Unknown |
| Shariaportfolio, Inc. CRD: 173937 | - | 0 | 2 | - | Unknown |
| Shark Asset Management, Inc. CRD: 136118 | - | 0 | 0 | - | Unknown |
| Sharkey Howes & Javer Inc CRD: 106050 | - | 0 | 3 | - | Unknown |
| Sharma Associates, Inc. CRD: 121347 | - | 0 | 2 | - | Unknown |
| Sharp Advisory Services CRD: 125265 | - | 0 | 0 | - | Unknown |
| Sharp Circle Consulting, LLC CRD: 170735 | - | 0 | 2 | - | Unknown |
| Sharp Financial CRD: 289325 | - | 0 | 4 | - | Unknown |
| Sharp Fund GP LLC CRD: 311124 | - | 0 | 0 | - | Unknown |
| Sharp Investments, Inc. CRD: 117085 | - | 0 | 0 | - | Unknown |
| Sharp Shield Management, LLC CRD: 315873 | - | 0 | 0 | - | Unknown |
| Sharp Wealth Management CRD: 335140 | - | 0 | 1 | - | Unknown |
| Sharpe 4 Capital, LLC CRD: 133627 | - | 0 | 0 | - | Unknown |