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 |
|---|---|---|---|---|---|
| Sicner Asset Management, L.L.C. CRD: 125881 | - | 0 | 1 | - | Unknown |
| Sicor Securities Inc CRD: 16195 | - | 14 | 0 | D | INACTIVE |
| SID VP Management, LLC CRD: 318386 | - | 0 | 1 | - | Unknown |
| Sidac and Company, Inc. CRD: 13762 | - | 0 | 0 | A | INACTIVE |
| Siddha, LLC CRD: 285082 | - | 0 | 0 | - | Unknown |
| Siddhi Capital, LLC CRD: 314493 | - | 0 | 1 | - | Unknown |
| Siddiqi, Mashhood Z. CRD: 122393 | - | 0 | 0 | - | Unknown |
| Siddiqui Investments CRD: 314831 | - | 0 | 1 | - | Unknown |
| Side Door Ventures CRD: 333188 | - | 0 | 1 | - | Unknown |
| Side Hill Road Capital, LLC CRD: 305560 | - | 0 | 0 | - | Unknown |
| Side X Side Management LLC CRD: 287959 | - | 0 | 1 | - | Unknown |
| Side-by-Side Financial Planning, LLC CRD: 171661 | - | 0 | 1 | - | Unknown |
| Sidecarai, LLC CRD: 340699 | - | 0 | 1 | - | Unknown |
| Sideline Group CRD: 337813 | - | 0 | 1 | - | Unknown |
| Sidener Asset Management CRD: 115112 | - | 0 | 0 | - | Unknown |
| Sidereal Capital Group CRD: 320766 | - | 0 | 1 | - | Unknown |
| Sidka, LLC CRD: 323581 | - | 0 | 1 | - | Unknown |
| Sidman Advisors LLC CRD: 323359 | - | 0 | 0 | - | Unknown |
| Sidoti & Company, LLC CRD: 102860 | NY | 3 | 2 | B | Active |
| Sidus Wealth Management LLC CRD: 269940 | - | 0 | 0 | - | Unknown |
| SIE Financial Services CRD: 134808 | - | 0 | 0 | - | Unknown |
| Sieben Wealth Planning LLC CRD: 315368 | - | 0 | 2 | - | Unknown |
| Siebert Advisornxt, LLC. CRD: 288572 | - | 0 | 38 | - | Unknown |
| Siebert Capital Corp CRD: 31053 | - | 0 | 0 | A | INACTIVE |
| Siebert Investment Advisors, Inc. CRD: 169231 | - | 0 | 0 | - | Unknown |
| Siebert Williams Shank & Co., LLC CRD: 42568 | NY | 4 | 33 | B | Active |
| Siegel Asset Management Partners CRD: 310741 | - | 0 | 2 | - | Unknown |
| Siegenthaler Securities CRD: 22348 | - | 0 | 0 | A | INACTIVE |
| Siegfried Financial CRD: 154919 | - | 0 | 0 | - | Unknown |
| Siena Capital Partners GP, LLC CRD: 162073 | - | 0 | 1 | - | Unknown |
| Siena Carnico Capital LLC CRD: 175396 | - | 0 | 0 | - | Unknown |
| Siena Global Securities, LLC CRD: 156467 | CA | 0 | 2 | A | Active |
| Siena Wealth Advisors CRD: 117646 | - | 0 | 0 | - | Unknown |
| Siena Wealth Management, Inc. CRD: 146902 | - | 0 | 0 | - | Unknown |
| Sierens Financial Group, Inc. CRD: 338429 | - | 0 | 1 | - | Unknown |
| Sierra Asset Management CRD: 108685 | - | 0 | 2 | - | Unknown |
| Sierra Brokerage Services, Inc. CRD: 36573 | - | 8 | 0 | D | INACTIVE |
| Sierra Capital Group CRD: 114065 | - | 0 | 0 | - | Unknown |
| Sierra Capital Investors, Inc. CRD: 137138 | - | 0 | 0 | - | Unknown |
| Sierra Capital LLC CRD: 110129 | - | 0 | 4 | - | Unknown |
| Sierra Capital Management CRD: 112055 | - | 0 | 2 | - | Unknown |
| Sierra Equity Group LLC CRD: 36518 | - | 5 | 0 | C | INACTIVE |
| Sierra Financial Advisory CRD: 130934 | - | 0 | 1 | - | Unknown |
| Sierra Financial Management Co. CRD: 136795 | - | 0 | 2 | - | Unknown |
| Sierra Financial Planning & Asset Management CRD: 125451 | - | 0 | 2 | - | Unknown |
| Sierra Global Management, LLC CRD: 161598 | - | 0 | 0 | - | Unknown |
| Sierra Hotel Financial LLC CRD: 332672 | - | 0 | 2 | - | Unknown |
| Sierra Investment Partners, Inc. CRD: 110954 | - | 0 | 1 | - | Unknown |
| Sierra Legacy Group CRD: 172113 | - | 0 | 2 | - | Unknown |
| Sierra Madre Partners LLC CRD: 171754 | - | 0 | 1 | - | Unknown |