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 |
|---|---|---|---|---|---|
| Sherpa Advisors LLC CRD: 308132 | - | 0 | 0 | - | Unknown |
| Sherpa Financial Guides, Inc. CRD: 314973 | - | 0 | 3 | - | Unknown |
| Sherpa Healthcare Fund I GP, Ltd. CRD: 308599 | - | 0 | 0 | - | Unknown |
| Sherpa Healthcare Fund II GP, Ltd. CRD: 315996 | - | 0 | 0 | - | Unknown |
| Sherpa Healthcare Partners Co., Ltd. CRD: 306831 | - | 0 | 0 | - | Unknown |
| Sherpa Investment Services CRD: 167350 | - | 0 | 0 | - | Unknown |
| Sherpa Partners, Inc CRD: 326308 | - | 0 | 0 | - | Unknown |
| Sherpa Wealth Management LLC CRD: 340032 | - | 0 | 1 | - | Unknown |
| Sherpa Wealth Strategies, LLC CRD: 165135 | - | 0 | 0 | - | Unknown |
| Sherr Financial Associates CRD: 128589 | - | 0 | 1 | - | Unknown |
| Sherrill & Hutchins Financial Advisory Inc CRD: 105302 | - | 0 | 4 | - | Unknown |
| Sherrill Securities Investments, Inc. CRD: 26972 | - | 0 | 0 | A | INACTIVE |
| Sherwani Capital, LLC CRD: 320639 | - | 0 | 1 | - | Unknown |
| Sherwood Capital, Inc. CRD: 10474 | - | 0 | 0 | A | INACTIVE |
| Sherwood Financial Management CRD: 305997 | - | 0 | 1 | - | Unknown |
| Sherwood Investments CRD: 113622 | - | 0 | 1 | - | Unknown |
| Sherwood OAK Knoll, LLC CRD: 310621 | - | 0 | 2 | - | Unknown |
| Sherwood Wealth Management CRD: 311370 | - | 0 | 1 | - | Unknown |
| Sherwood Wealth Management CRD: 172687 | - | 0 | 1 | - | Unknown |
| Sheth Group CRD: 312251 | - | 0 | 1 | - | Unknown |
| Shetland Financial CRD: 308000 | - | 0 | 0 | - | Unknown |
| Shetland Financial, PLLC CRD: 308958 | - | 0 | 1 | - | Unknown |
| Sheu Wealth Management, LLC CRD: 173308 | - | 0 | 0 | - | Unknown |
| SHFP, LLC CRD: 171571 | - | 0 | 1 | - | Unknown |
| SHI Sanchez Capital Management LLC CRD: 342381 | - | 0 | 1 | - | Unknown |
| Shield Capital, LLC CRD: 317447 | - | 0 | 1 | - | Unknown |
| Shield Investment CRD: 309125 | - | 0 | 0 | - | Unknown |
| Shield Wealth Advisors CRD: 309538 | - | 0 | 2 | - | Unknown |
| Shield Wealth Management CRD: 155499 | - | 0 | 0 | - | Unknown |
| Shields & Company CRD: 11053 | - | 11 | 0 | D | INACTIVE |
| Shields & Company, Inc. CRD: 30000 | MA | 1 | 2 | B | Active |
| Shields TAX & Investment Management CRD: 107795 | - | 0 | 0 | - | Unknown |
| Shift 4 Advisors, Inc. CRD: 329628 | - | 0 | 1 | - | Unknown |
| Shift Fynancial CRD: 304594 | - | 0 | 1 | - | Unknown |
| Shift Left Ventures Management Company, LLC CRD: 325347 | - | 0 | 1 | - | Unknown |
| Shift to Impact CRD: 297489 | - | 0 | 0 | - | Unknown |
| Shift to Impact CRD: 312244 | - | 0 | 1 | - | Unknown |
| Shifting the Culture Wealth Partners LLC CRD: 309408 | - | 0 | 2 | - | Unknown |
| Shih Investments LLC CRD: 149729 | - | 0 | 0 | - | Unknown |
| Shikhara Capital (Hong Kong) Private Limited (Comp… CRD: 332188 | - | 0 | 0 | - | Unknown |
| Shikuma Capital Limited CRD: 315428 | - | 0 | 0 | - | Unknown |
| Shilanski & Associates, Inc. CRD: 116431 | - | 0 | 0 | - | Unknown |
| Shilla Advisory LLC CRD: 338692 | - | 0 | 1 | - | Unknown |
| Shiloh Advisors Inc. CRD: 338014 | FL | 0 | 3 | A | Active |
| Shimkus, Peter E CRD: 130080 | - | 0 | 2 | - | Unknown |
| Shin OAK Financial CRD: 315562 | - | 0 | 0 | - | Unknown |
| Shine Capital CRD: 311659 | - | 0 | 1 | - | Unknown |
| Shine Financial Services, LLC CRD: 144622 | - | 0 | 2 | - | Unknown |
| Shine Wealth Partners CRD: 106097 | - | 0 | 0 | - | Unknown |
| Shining Rock Advisors LLC CRD: 311295 | - | 0 | 1 | - | Unknown |