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 |
|---|---|---|---|---|---|
| Shinko Securities (U.S.A.) Inc. CRD: 121142 | - | 1 | 0 | B | INACTIVE |
| Shinnecock Partners CRD: 166426 | - | 0 | 1 | - | Unknown |
| Shinneman Wealth Group CRD: 296758 | - | 0 | 1 | - | Unknown |
| Shipwright Advisors CRD: 329816 | - | 0 | 1 | - | Unknown |
| Shira Ridge Wealth Management CRD: 117627 | - | 0 | 3 | - | Unknown |
| SHL Capital CRD: 310333 | - | 0 | 1 | - | Unknown |
| Shoals Capital CRD: 288201 | - | 0 | 0 | - | Unknown |
| Shockman Financial CRD: 315529 | - | 0 | 1 | - | Unknown |
| Shoemaker Securities Company, Inc. CRD: 23233 | - | 0 | 0 | A | INACTIVE |
| Shoenberg, Hieber Inc. CRD: 5859 | - | 2 | 0 | B | INACTIVE |
| Shoffer Wealth Management, LLC CRD: 106586 | - | 0 | 0 | - | Unknown |
| Shoker Investments CRD: 107857 | - | 0 | 2 | - | Unknown |
| Shomer Hawaii, LLC CRD: 324975 | - | 0 | 1 | - | Unknown |
| Shonan Gold Financial LLC CRD: 318265 | - | 0 | 1 | - | Unknown |
| Shone Associates, Ltd. CRD: 22939 | - | 0 | 0 | A | INACTIVE |
| Shone Wealth Management CRD: 136101 | - | 0 | 0 | - | Unknown |
| Shope Advisors Group CRD: 144056 | - | 0 | 1 | - | Unknown |
| Shopoff Securities, Inc. CRD: 142866 | CA | 0 | 2 | A | Active |
| Shor Capital Management CRD: 321052 | - | 0 | 1 | - | Unknown |
| Shore Capital Partners CRD: 166745 | - | 0 | 1 | - | Unknown |
| Shore Financial Planning CRD: 299824 | - | 0 | 1 | - | Unknown |
| Shore Morgan Young Wealth Strategies CRD: 298682 | - | 0 | 0 | - | Unknown |
| Shore Point Advisors, LLC CRD: 296848 | - | 0 | 2 | - | Unknown |
| Shore, Richard Stephen, JR. CRD: 41393 | - | 0 | 0 | A | INACTIVE |
| Shorebird Capital, LP CRD: 285437 | - | 0 | 2 | - | Unknown |
| Shorebird, LLC CRD: 290121 | - | 0 | 1 | - | Unknown |
| Shorebreak Capital, LLC CRD: 283921 | - | 0 | 2 | - | Unknown |
| Shorebreak Personal Financial Trainers CRD: 308327 | - | 0 | 0 | - | Unknown |
| Shorebridge Capital Securities, LLC CRD: 269991 | NJ | 0 | 2 | A | Active |
| Shorehill Capital LLC CRD: 286004 | - | 0 | 1 | - | Unknown |
| Shoreland Trading, LLC CRD: 117937 | - | 2 | 0 | B | INACTIVE |
| Shoreline Capital Corporation CRD: 128530 | - | 0 | 1 | - | Unknown |
| Shoreline Capital LLC CRD: 104066 | - | 0 | 0 | A | INACTIVE |
| Shoreline Equity Partners, LLC CRD: 301128 | - | 0 | 1 | - | Unknown |
| Shoreline Pacific, LLC CRD: 104417 | - | 0 | 0 | A | INACTIVE |
| Shoreline Securities CRD: 133493 | - | 0 | 0 | A | INACTIVE |
| Shoreline Trading Group LLC CRD: 41888 | - | 1 | 0 | B | INACTIVE |
| Shoreline Wealth Advisors CRD: 121764 | - | 0 | 0 | - | Unknown |
| Shores Edge Financial LLC CRD: 313320 | - | 0 | 1 | - | Unknown |
| Shorestown Partners LLC CRD: 340562 | - | 0 | 1 | - | Unknown |
| Shorevest Partners, Ltd. CRD: 284681 | - | 0 | 0 | - | Unknown |
| Shoreview Industries V, LLC CRD: 156686 | - | 0 | 1 | - | Unknown |
| Shorewind Capital LLC CRD: 317255 | - | 0 | 1 | - | Unknown |
| Short Cliffs Capital LLC CRD: 339581 | - | 0 | 1 | - | Unknown |
| Short Hills Capital LLC CRD: 127253 | - | 0 | 0 | A | INACTIVE |
| Short Hills Capital Partners LLC CRD: 171320 | - | 0 | 0 | - | Unknown |
| Short PUT Yield CRD: 331841 | - | 0 | 2 | - | Unknown |
| Shorter, Alden M CRD: 317804 | - | 0 | 2 | - | Unknown |
| Shortleaf Capital LLC CRD: 334767 | - | 0 | 0 | - | Unknown |
| Shot Tower Securities LLC CRD: 169678 | MD | 0 | 2 | A | Active |