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 |
|---|---|---|---|---|---|
| Shelton Financial Group, Inc. CRD: 123318 | - | 0 | 0 | - | Unknown |
| Shelton Wealth Management, LLC CRD: 312686 | - | 0 | 1 | - | Unknown |
| Shen, JIE CFA CRD: 170263 | - | 0 | 0 | - | Unknown |
| Shenandoah Energy Management, LLC CRD: 332901 | - | 0 | 0 | - | Unknown |
| Shenandoah Financial CRD: 287751 | - | 0 | 1 | - | Unknown |
| Shenandoah Valley Wealth Management, LLC CRD: 169802 | - | 0 | 0 | - | Unknown |
| Shenkman Capital Management, Inc. CRD: 112192 | - | 0 | 1 | - | Unknown |
| Shenzhen Bright Private Equity Investment Manageme… CRD: 319292 | - | 0 | 0 | - | Unknown |
| Shepherd Advisor CRD: 328734 | - | 0 | 1 | - | Unknown |
| Shepherd Financial Group, LLC CRD: 38689 | - | 2 | 0 | B | INACTIVE |
| Shepherd Financial LLC CRD: 307562 | - | 0 | 1 | - | Unknown |
| Shepherd Financial Partners, LLC CRD: 169093 | - | 0 | 6 | - | Unknown |
| Shepherd Kaplan Krochuk, LLC CRD: 127304 | - | 0 | 1 | - | Unknown |
| Shepherd Kaplan LLC CRD: 128244 | - | 0 | 5 | - | Unknown |
| Shepherd Street Advisors CRD: 306021 | - | 0 | 1 | - | Unknown |
| Shepherd Trading Limited CRD: 39591 | - | 1 | 0 | B | INACTIVE |
| Shepherd Tree Investment Management, LP CRD: 324186 | - | 0 | 0 | - | Unknown |
| Shepherd Wealth & Retirement CRD: 116151 | - | 0 | 0 | - | Unknown |
| Shepherd Wealth & Retirement LLC CRD: 305645 | - | 0 | 1 | - | Unknown |
| Shepherd Wealth Management CRD: 312695 | - | 0 | 4 | - | Unknown |
| Shepherd Wealth Partners CRD: 288920 | - | 0 | 1 | - | Unknown |
| Shepherd's Advisory Group, LLC CRD: 158092 | - | 0 | 0 | - | Unknown |
| Shepherd's Creek CRD: 302039 | - | 0 | 0 | - | Unknown |
| Shepherd's Financial LLC CRD: 335206 | - | 0 | 1 | - | Unknown |
| Shepherds of Capital CRD: 339703 | - | 0 | 2 | - | Unknown |
| Sheppard, Simmonds & VAN Housen, Inc. CRD: 15288 | - | 0 | 0 | A | INACTIVE |
| Sheptoff Investment Group LLC CRD: 286509 | - | 0 | 0 | - | Unknown |
| Sherbo Enterprises, LLC CRD: 157731 | - | 0 | 0 | - | Unknown |
| Sherbrooke Capital CRD: 162621 | - | 0 | 0 | - | Unknown |
| Sheridan Capital Partners CRD: 299035 | - | 0 | 1 | - | Unknown |
| Sheridan Capital Securities, LLC CRD: 157439 | - | 1 | 0 | B | INACTIVE |
| Sheridan Production Partners Manager III, LLC CRD: 310572 | - | 0 | 1 | - | Unknown |
| Sheridan Production Partners Manager, LLC CRD: 156935 | - | 0 | 0 | - | Unknown |
| Sheridan Road Advisors, LLC, a HUB International C… CRD: 293807 | - | 0 | 0 | - | Unknown |
| Sheridan Securities Inc CRD: 11649 | - | 0 | 0 | A | INACTIVE |
| Sheriff Securities Corporation CRD: 3388 | - | 0 | 0 | A | INACTIVE |
| Sherlock Investment Management, Inc. CRD: 107186 | - | 0 | 0 | - | Unknown |
| Sherman & Co. CRD: 3389 | - | 0 | 0 | A | INACTIVE |
| Sherman & Company LLC CRD: 155575 | NC | 0 | 3 | A | Active |
| Sherman Financial CRD: 285007 | - | 0 | 1 | - | Unknown |
| Sherman Mcnab LLC CRD: 287537 | - | 0 | 0 | - | Unknown |
| Sherman Portfolios CRD: 322728 | - | 0 | 1 | - | Unknown |
| Sherman Street Capital LLC CRD: 341170 | - | 0 | 1 | - | Unknown |
| Sherman Ventures, LLC CRD: 300883 | - | 0 | 1 | - | Unknown |
| Sherman Wealth Solutions LLC CRD: 324426 | - | 0 | 1 | - | Unknown |
| Sherman Werst Wealth Advisors CRD: 121303 | - | 0 | 0 | - | Unknown |
| Sherman, Dean & Co. Incorporated CRD: 3392 | - | 0 | 0 | A | INACTIVE |
| Sherman, Fitzpatrick & Co., Inc. CRD: 3393 | - | 0 | 0 | A | INACTIVE |
| Sherman, Young & Leavitt, LLC CRD: 152955 | - | 0 | 2 | - | Unknown |
| Sherow Management, LLC CRD: 169199 | - | 0 | 1 | - | Unknown |