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 |
|---|---|---|---|---|---|
| Sharpe 4 Securities, LLC CRD: 136353 | - | 0 | 0 | A | INACTIVE |
| Sharpe Advisors, LLC CRD: 338664 | - | 0 | 1 | - | Unknown |
| Sharpe Capital, Inc. CRD: 18452 | - | 9 | 0 | D | INACTIVE |
| Sharpedge Financial CRD: 331971 | - | 0 | 1 | - | Unknown |
| Sharpely AI CRD: 331631 | - | 0 | 1 | - | Unknown |
| Sharpemachine, LLC CRD: 310930 | - | 0 | 0 | - | Unknown |
| Sharpepoint, LLC CRD: 290719 | - | 0 | 2 | - | Unknown |
| Sharper & Granite LLC CRD: 136719 | - | 0 | 2 | - | Unknown |
| Sharper Image Financial Services, LLC CRD: 330048 | - | 0 | 3 | - | Unknown |
| Sharpvue Capital, LLC CRD: 304746 | - | 0 | 1 | - | Unknown |
| Shasta Financial Planning CRD: 133791 | - | 0 | 0 | - | Unknown |
| Shasta Partners, LLC CRD: 124358 | MA | 0 | 2 | A | Active |
| Shasta Ventures CRD: 162676 | - | 0 | 0 | - | Unknown |
| Shatkin Arbor & Guzowski, LLC CRD: 136497 | - | 0 | 0 | A | INACTIVE |
| Shatkin Financial Services, Inc. CRD: 16883 | - | 0 | 0 | A | INACTIVE |
| Shattemac Capital Management, LLC CRD: 173245 | - | 0 | 0 | - | Unknown |
| Shattuck Hammond Partners Inc. CRD: 32241 | - | 0 | 0 | A | INACTIVE |
| Shattuck Hammond Partners LLC CRD: 113645 | - | 1 | 0 | B | INACTIVE |
| Shauger, Curtis CRD: 165955 | - | 0 | 0 | - | Unknown |
| Shaun Buss LLC CRD: 104300 | - | 0 | 0 | A | INACTIVE |
| Shaunessy Investment Counsel Inc CRD: 289599 | - | 0 | 0 | - | Unknown |
| Shaw & Co. CRD: 3381 | - | 0 | 0 | A | INACTIVE |
| Shaw Asset Management CRD: 284454 | - | 0 | 0 | - | Unknown |
| Shaw Consulting LLC CRD: 151963 | - | 0 | 0 | - | Unknown |
| Shaw Financial Solutions LLC CRD: 329057 | - | 0 | 1 | - | Unknown |
| Shaw Financial Strategies, LLC CRD: 130391 | - | 0 | 0 | - | Unknown |
| Shaw Group LLC CRD: 130670 | - | 0 | 0 | - | Unknown |
| Shaw Investments, LLC CRD: 141550 | - | 0 | 0 | - | Unknown |
| Shaw, Mcdermott & Co. CRD: 6983 | - | 0 | 0 | A | INACTIVE |
| Shawler, David F. CRD: 33437 | - | 0 | 0 | A | INACTIVE |
| Shawmut Brokerage, Inc. CRD: 17081 | - | 0 | 0 | A | INACTIVE |
| Shawspring Partners, LLC CRD: 172766 | - | 0 | 1 | - | Unknown |
| Shay Financial Services Co. CRD: 27215 | - | 0 | 0 | A | INACTIVE |
| Shay Government Securities Co. CRD: 27214 | - | 0 | 0 | A | INACTIVE |
| Shay Ridge Capital CRD: 136689 | - | 0 | 0 | - | Unknown |
| Shayne & Jacobs, LLC CRD: 109423 | - | 0 | 3 | - | Unknown |
| SHB Advisors CRD: 170529 | - | 0 | 1 | - | Unknown |
| SHD Holdings LLC CRD: 140769 | - | 0 | 0 | A | INACTIVE |
| SHD Management, LLC CRD: 170651 | - | 0 | 1 | - | Unknown |
| SHE DDF1 GP, LLC CRD: 291636 | - | 0 | 0 | - | Unknown |
| SHE Wealth Advisors LLC CRD: 337375 | - | 0 | 1 | - | Unknown |
| Shea & Company CRD: 150965 | MA | 0 | 2 | A | Active |
| Shea - O'day Securities Inc CRD: 13497 | - | 0 | 0 | A | INACTIVE |
| Shea Financial Advisors CRD: 125606 | - | 0 | 2 | - | Unknown |
| Shea Ventures CRD: 163320 | - | 0 | 0 | - | Unknown |
| Shea-Dorsett Associates, Inc. CRD: 35423 | - | 0 | 0 | A | INACTIVE |
| Sheaff Brock Investment Advisors, LLC CRD: 118739 | - | 0 | 0 | - | Unknown |
| Shealy Wealth Advisory LLC CRD: 310488 | - | 0 | 1 | - | Unknown |
| Shearlink Capital, LLC CRD: 166718 | - | 0 | 0 | - | Unknown |
| Shearman, Ralston Inc. CRD: 7320 | CT | 0 | 4 | A | Active |