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 |
|---|---|---|---|---|---|
| Slingshot Financial CRD: 312796 | - | 0 | 1 | - | Unknown |
| Slipstream Advisors LLC CRD: 158728 | - | 0 | 0 | - | Unknown |
| Slipstream Investors CRD: 318834 | - | 0 | 0 | - | Unknown |
| Slipstream Venture Capital, LLC CRD: 284488 | - | 0 | 0 | - | Unknown |
| SLK Index Specialists, LLC CRD: 31306 | - | 1 | 0 | B | INACTIVE |
| SLK Management LLC CRD: 139017 | - | 0 | 0 | - | Unknown |
| SLK-Hull Derivatives LLC CRD: 46735 | - | 31 | 0 | F | INACTIVE |
| SLL Securities Inc CRD: 32859 | - | 0 | 0 | A | INACTIVE |
| SLO Money Managers CRD: 331617 | - | 0 | 1 | - | Unknown |
| Sloan Advisory Group, Inc. CRD: 284325 | - | 0 | 1 | - | Unknown |
| Sloan Investment Management, L.L.C. CRD: 142276 | - | 0 | 0 | - | Unknown |
| Sloan Securities Corp. CRD: 17930 | - | 7 | 0 | D | INACTIVE |
| Sloane Robinson LLP CRD: 161350 | - | 0 | 0 | - | Unknown |
| Slocum CRD: 111795 | - | 0 | 0 | - | Unknown |
| Slocum, Gordon & Co. LLP CRD: 104929 | - | 0 | 2 | - | Unknown |
| Slope Fund GP, LLC CRD: 317821 | - | 0 | 1 | - | Unknown |
| Slosberg Financial Solutions, LLC CRD: 144061 | - | 0 | 1 | - | Unknown |
| Slot Associates Securities Corporation CRD: 15915 | - | 0 | 0 | A | INACTIVE |
| Slotnik Capital, LLC CRD: 324251 | - | 0 | 1 | - | Unknown |
| Slow Capital, Inc. CRD: 286688 | - | 0 | 1 | - | Unknown |
| Slow Ventures, LLC CRD: 171144 | - | 0 | 1 | - | Unknown |
| Slowey, KAY Incorporated CRD: 10404 | - | 0 | 0 | A | INACTIVE |
| Sloy Dahl & Holst Holdings, Inc CRD: 310107 | - | 0 | 1 | - | Unknown |
| Sloy, Dahl & Holst, LLC CRD: 110102 | - | 0 | 4 | - | Unknown |
| SLP Advisory, LLC CRD: 300398 | - | 0 | 0 | - | Unknown |
| SLP Wealth CRD: 325631 | - | 0 | 16 | - | Unknown |
| SLR Advisors CRD: 325660 | - | 0 | 2 | - | Unknown |
| SLR Capital Partners, LLC CRD: 146106 | - | 0 | 1 | - | Unknown |
| SLR Financial CRD: 167652 | - | 0 | 0 | - | Unknown |
| SLS Management, LLC CRD: 159552 | - | 0 | 0 | - | Unknown |
| SLS Securities Company CRD: 13332 | - | 11 | 0 | D | INACTIVE |
| SLTV Investment Group LLC CRD: 44135 | - | 0 | 0 | A | INACTIVE |
| Slugh Securities Corp CRD: 33046 | - | 0 | 0 | A | INACTIVE |
| Slusser Associates Inc. CRD: 22891 | - | 1 | 0 | B | INACTIVE |
| SLVC GP, LLC CRD: 308334 | - | 0 | 1 | - | Unknown |
| SLW Management Company CRD: 329215 | - | 0 | 1 | - | Unknown |
| SLW Retirement Plan Advisors CRD: 146478 | - | 0 | 0 | - | Unknown |
| SLZ Capital Management, LLC CRD: 162973 | - | 0 | 0 | - | Unknown |
| SM Scherr Financial LLC CRD: 116348 | - | 0 | 1 | - | Unknown |
| SM Carlton Advisory CRD: 310381 | - | 0 | 2 | - | Unknown |
| SM Investors CRD: 155549 | - | 0 | 1 | - | Unknown |
| SMA Capital LLC CRD: 335168 | - | 0 | 1 | - | Unknown |
| Smaart LLC CRD: 305029 | - | 0 | 1 | - | Unknown |
| Small Business Retirement Plan CRD: 314804 | - | 0 | 0 | - | Unknown |
| Small Victories Wealth CRD: 318429 | - | 0 | 1 | - | Unknown |
| Small Willow CRD: 284284 | - | 0 | 0 | - | Unknown |
| Smallwood Financial Group LLC CRD: 305790 | - | 0 | 1 | - | Unknown |
| Smarr Financial Services Inc. CRD: 142540 | - | 0 | 1 | - | Unknown |
| Smart & Responsible Financial Life CRD: 168322 | - | 0 | 0 | - | Unknown |
| Smart Advisory Group, LLC CRD: 284545 | - | 0 | 0 | - | Unknown |