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 |
|---|---|---|---|---|---|
| Sierra Management Group CRD: 307227 | - | 0 | 1 | - | Unknown |
| Sierra Morena Capital CRD: 331737 | - | 0 | 1 | - | Unknown |
| Sierra Nevada Wealth Management, LLC CRD: 145304 | - | 0 | 1 | - | Unknown |
| Sierra Ocean, LLC CRD: 313829 | - | 0 | 1 | - | Unknown |
| Sierra Pacific Advisors LLC CRD: 281397 | - | 0 | 0 | - | Unknown |
| Sierra Pacific Capital Corporation CRD: 34997 | - | 0 | 0 | A | INACTIVE |
| Sierra Pacific Private Wealth, LLC CRD: 131738 | - | 0 | 1 | - | Unknown |
| Sierra Pacific Securities, LLC CRD: 155160 | - | 0 | 0 | A | INACTIVE |
| Sierra Securities, Inc. CRD: 17599 | - | 0 | 0 | A | INACTIVE |
| Sierra Securities,Inc. CRD: 14537 | - | 0 | 0 | A | INACTIVE |
| Sierra Shore Financial CRD: 126811 | - | 0 | 1 | - | Unknown |
| Sierra Springs Asset Management, LLC CRD: 286074 | - | 0 | 1 | - | Unknown |
| Sierra Summit Advisors LLC CRD: 328151 | - | 0 | 4 | - | Unknown |
| Sierra Trading Group, L.P. CRD: 24587 | - | 0 | 0 | A | INACTIVE |
| Sierra Ventures Management II, L.L.C. CRD: 163054 | - | 0 | 0 | - | Unknown |
| Sierra Ventures Management III, L.L.C. CRD: 163849 | - | 0 | 1 | - | Unknown |
| Sierra Ventures Management, L.L.C. CRD: 163053 | - | 0 | 0 | - | Unknown |
| Sierra Vista Advisors CRD: 171786 | - | 0 | 0 | - | Unknown |
| Sierra Wealth Advisors CRD: 127910 | - | 0 | 0 | - | Unknown |
| Sierra West Securities, L.P. CRD: 47361 | - | 0 | 0 | A | INACTIVE |
| Sierra-Nevada Securities Corp. CRD: 15030 | - | 0 | 0 | A | INACTIVE |
| Sierra-Pacific Securities,Inc. CRD: 11063 | - | 0 | 0 | A | INACTIVE |
| Sierra-Vanderbilt Corporation CRD: 7376 | - | 0 | 0 | A | INACTIVE |
| Sierran Asset Management CRD: 318247 | - | 0 | 0 | - | Unknown |
| Sietch Capital Advisory CRD: 313046 | - | 0 | 0 | - | Unknown |
| Sieve Capital LLC CRD: 334075 | - | 0 | 1 | - | Unknown |
| Sife CRD: 3355 | - | 3 | 0 | B | INACTIVE |
| SIG Brokerage, LP CRD: 100400 | NY | 4 | 2 | B | Active |
| SIG Capital, LLC CRD: 340668 | - | 0 | 1 | - | Unknown |
| SIG Index Specialists, LLC CRD: 120014 | - | 0 | 0 | A | INACTIVE |
| SIG Specialists, Inc. CRD: 21831 | - | 7 | 0 | D | INACTIVE |
| Sigfig Wealth Management LLC CRD: 158823 | - | 0 | 5 | - | Unknown |
| Sightline Capital LLC CRD: 338600 | - | 0 | 2 | - | Unknown |
| Sightline Partners LLC CRD: 162629 | - | 0 | 1 | - | Unknown |
| Sightline Wealth CRD: 336167 | - | 0 | 1 | - | Unknown |
| Sigma Advantage Investments, LLC CRD: 153346 | - | 0 | 0 | - | Unknown |
| Sigma Advisors, LLC CRD: 304517 | - | 0 | 1 | - | Unknown |
| Sigma Americas Securities LLC CRD: 207515 | NY | 0 | 2 | A | Active |
| Sigma Capital Advisers CRD: 167260 | - | 0 | 0 | - | Unknown |
| Sigma Capital Management CRD: 127244 | - | 0 | 0 | - | Unknown |
| Sigma Capital Management CRD: 302063 | - | 0 | 1 | - | Unknown |
| Sigma Financial Services Inc CRD: 108099 | - | 0 | 0 | - | Unknown |
| Sigma Financial, Inc. CRD: 123184 | - | 0 | 2 | - | Unknown |
| Sigma Investments CRD: 44961 | - | 0 | 0 | A | INACTIVE |
| Sigma Management 6, LLC CRD: 160560 | - | 0 | 1 | - | Unknown |
| Sigma Point Capital CRD: 309031 | - | 0 | 0 | - | Unknown |
| Sigma Prime Ventures, LLC CRD: 164249 | - | 0 | 1 | - | Unknown |
| Sigma Squared Asset Management LLC CRD: 174953 | - | 0 | 0 | - | Unknown |
| Sigma Wealth Management, Inc. CRD: 306133 | - | 0 | 0 | - | Unknown |
| Sigma3Capital LLC CRD: 331720 | - | 0 | 2 | - | Unknown |