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 |
|---|---|---|---|---|---|
| Simple Portfolio Management, Inc. CRD: 148263 | - | 0 | 1 | - | Unknown |
| Simple Wealth LLC CRD: 152865 | - | 0 | 1 | - | Unknown |
| Simpleadvisory LLC CRD: 334785 | - | 0 | 1 | - | Unknown |
| Simpleivest CRD: 283539 | - | 0 | 0 | - | Unknown |
| Simplevisor CRD: 332608 | - | 0 | 1 | - | Unknown |
| Simplex Asset Management Co., Ltd. CRD: 166680 | - | 0 | 0 | - | Unknown |
| Simplex Trading, LLC CRD: 153585 | IL | 4 | 2 | B | Active |
| Simplex Wealth Management CRD: 170265 | - | 0 | 0 | - | Unknown |
| Simplexus Wealth Management CRD: 340868 | - | 0 | 1 | - | Unknown |
| Simpli-FI Alpha LLC CRD: 331746 | - | 0 | 2 | - | Unknown |
| Simplicifi, LLC CRD: 316871 | - | 0 | 1 | - | Unknown |
| Simplicit Financial CRD: 157137 | - | 0 | 0 | - | Unknown |
| Simplicity Financial Advisory Services, Inc CRD: 165822 | - | 0 | 0 | - | Unknown |
| Simplicity Financial Investment Services, Inc. CRD: 148024 | - | 0 | 0 | A | INACTIVE |
| Simplicity Financial, LLC CRD: 284578 | - | 0 | 1 | - | Unknown |
| Simplicity Solutions, LLC CRD: 175009 | - | 0 | 0 | - | Unknown |
| Simplicity Wealth CRD: 300572 | - | 0 | 133 | - | Unknown |
| Simplicity Wealth Management CRD: 300112 | - | 0 | 1 | - | Unknown |
| Simplicity Wealth, LLC CRD: 284785 | - | 0 | 0 | - | Unknown |
| Simplifi, Inc. CRD: 154900 | - | 0 | 1 | - | Unknown |
| Simplified Retirement CRD: 327670 | - | 0 | 1 | - | Unknown |
| Simplified Wealth LLC CRD: 318522 | - | 0 | 1 | - | Unknown |
| Simplified Wealth Management CRD: 297059 | - | 0 | 1 | - | Unknown |
| Simplified Wealth Strategies CRD: 318107 | - | 0 | 0 | - | Unknown |
| Simplifiedfp CRD: 338336 | - | 0 | 1 | - | Unknown |
| Simplify Eqls LLC CRD: 327988 | - | 0 | 0 | - | Unknown |
| Simplify Investments CRD: 285556 | - | 0 | 2 | - | Unknown |
| Simplify Wealth Planning LLC CRD: 325474 | - | 0 | 1 | - | Unknown |
| Simply Human Advisors CRD: 319482 | - | 0 | 1 | - | Unknown |
| Simply Investments Inc. CRD: 287558 | - | 0 | 0 | - | Unknown |
| Simply Money Advisors CRD: 106619 | - | 0 | 0 | - | Unknown |
| Simply Steward CRD: 287771 | - | 0 | 1 | - | Unknown |
| Simplyrich CRD: 119311 | - | 0 | 2 | - | Unknown |
| Simplysmart Asset Management CRD: 152991 | - | 0 | 2 | - | Unknown |
| Simpson, Emery & Company, Inc. CRD: 3418 | - | 0 | 0 | A | INACTIVE |
| Sinai Capital CRD: 299447 | - | 0 | 0 | - | Unknown |
| Sinai Ventures Management, LLC CRD: 292340 | - | 0 | 0 | - | Unknown |
| Sincere & Co. CRD: 44811 | - | 0 | 0 | A | INACTIVE |
| Sincerus Advisory CRD: 300559 | - | 0 | 3 | - | Unknown |
| Sincerus Investments, Inc. CRD: 40965 | - | 0 | 0 | A | INACTIVE |
| Sinclair & Company Securities, Inc. CRD: 13078 | - | 0 | 0 | A | INACTIVE |
| Sinclair & Company, LLC CRD: 133754 | - | 0 | 0 | A | INACTIVE |
| Sinclair Group, LLC CRD: 290206 | - | 0 | 0 | - | Unknown |
| Sinclair Group, LLC CRD: 159948 | - | 0 | 0 | - | Unknown |
| Sinclair Investor Services, Ltd. CRD: 15814 | - | 0 | 0 | A | INACTIVE |
| Sinclair Securities Company CRD: 7499 | - | 0 | 0 | A | INACTIVE |
| Sindicatum Carbon & Energy Management, Ltd. CRD: 163135 | - | 0 | 0 | - | Unknown |
| Sine Capital CRD: 168605 | - | 0 | 0 | - | Unknown |
| Sine QUA NON Capital LLC CRD: 330483 | FL | 0 | 2 | A | Active |
| Sinecera Capital, LLC CRD: 298872 | - | 0 | 0 | - | Unknown |