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 |
|---|---|---|---|---|---|
| Shoten Capital LP CRD: 339620 | - | 0 | 1 | - | Unknown |
| Shotwell Rutter Baer Inc CRD: 122789 | - | 0 | 1 | - | Unknown |
| Show Investment Co. CRD: 14065 | - | 0 | 0 | A | INACTIVE |
| Showel Capital L.P. CRD: 44789 | - | 0 | 0 | A | INACTIVE |
| SHP Wealth Management, LLC CRD: 174697 | - | 0 | 1 | - | Unknown |
| SHR Financial Advisors, Inc. CRD: 125285 | - | 0 | 0 | - | Unknown |
| Shrader Financial Consulting CRD: 114578 | - | 0 | 0 | - | Unknown |
| Shreem Capital Inc CRD: 282430 | - | 0 | 0 | - | Unknown |
| Shrewsbury River Capital LP CRD: 289785 | - | 0 | 1 | - | Unknown |
| Shri Advisors CRD: 168207 | - | 0 | 1 | - | Unknown |
| Shrier Associates, LLC CRD: 129043 | - | 0 | 4 | - | Unknown |
| Shrier Wealth Management, LLC CRD: 332673 | - | 0 | 1 | - | Unknown |
| Shriver Investments CRD: 147658 | - | 0 | 0 | - | Unknown |
| Shrug II GP, LLC CRD: 300744 | - | 0 | 0 | - | Unknown |
| Shrug, LLC CRD: 313323 | - | 0 | 1 | - | Unknown |
| SHS Asset Management LP CRD: 318204 | - | 0 | 0 | - | Unknown |
| SHS Securities, Inc. CRD: 129165 | - | 0 | 0 | A | INACTIVE |
| Shubert Rizor Securities, Inc. CRD: 18581 | - | 0 | 0 | A | INACTIVE |
| Shubert, Peter CRD: 132826 | - | 0 | 0 | A | INACTIVE |
| Shucha Wealth Management LLC CRD: 315690 | - | 0 | 1 | - | Unknown |
| Shuckervc, LLC CRD: 330262 | - | 0 | 1 | - | Unknown |
| Shue Securities, Inc. CRD: 117854 | - | 0 | 0 | A | INACTIVE |
| Shufro, Rose & Co., LLC CRD: 3403 | - | 11 | 3 | C | INACTIVE |
| Shukr Investments LLC CRD: 301190 | - | 0 | 1 | - | Unknown |
| Shulman & Co., Inc. CRD: 14755 | - | 0 | 0 | A | INACTIVE |
| Shulman Demeo Asset Management, LLC CRD: 142897 | - | 0 | 1 | - | Unknown |
| Shultz Financial Planning, LLC CRD: 153805 | - | 0 | 0 | - | Unknown |
| Shum Financial Group, Inc. CRD: 285426 | - | 0 | 1 | - | Unknown |
| Shunwei Capital Partners Advisor Limited CRD: 160222 | - | 0 | 0 | - | Unknown |
| Shurgard Realty Advisors, Inc. CRD: 14034 | - | 0 | 0 | A | INACTIVE |
| Shuster Advisory Group, LLC CRD: 170233 | - | 0 | 2 | - | Unknown |
| Shutfin Partners LLC CRD: 327123 | - | 0 | 0 | - | Unknown |
| Shuttleworth & Company CRD: 121382 | - | 0 | 1 | - | Unknown |
| Shutzer Investments, LLC CRD: 301318 | - | 0 | 1 | - | Unknown |
| Shuyi Kong Wealth Management, Inc. CRD: 168953 | - | 0 | 1 | - | Unknown |
| SHV ETA Ventures, LLC CRD: 341262 | - | 0 | 1 | - | Unknown |
| SHV Management, LLC CRD: 172512 | - | 0 | 1 | - | Unknown |
| SHYN Advisors, LLC CRD: 299888 | - | 0 | 0 | - | Unknown |
| SI Securities, LLC CRD: 170937 | NY | 1 | 1 | B | Active |
| SIA Securities Corporation CRD: 35403 | MN | 1 | 2 | B | Active |
| SIA-Summit Investment Advisors CRD: 150607 | - | 0 | 0 | - | Unknown |
| Siamo Investment Advisors, Inc. CRD: 118566 | - | 0 | 0 | - | Unknown |
| SIB LLC CRD: 161602 | - | 0 | 0 | - | Unknown |
| SIC Advisors LLC CRD: 159519 | - | 0 | 0 | - | Unknown |
| SIC Advisors LLC CRD: 304991 | - | 0 | 0 | - | Unknown |
| Sica Wealth Management, LLC CRD: 153625 | - | 0 | 0 | - | Unknown |
| Sicart Associates, LLC CRD: 285275 | - | 0 | 1 | - | Unknown |
| Sick Advisory Services CRD: 329803 | - | 0 | 1 | - | Unknown |
| Sickle Hunter Financial Advisors CRD: 172256 | - | 0 | 1 | - | Unknown |
| Sickler Capital, LLC CRD: 281968 | - | 0 | 0 | - | Unknown |