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 |
|---|---|---|---|---|---|
| Smart Choice TAX Accounting Financial Group, Inc. CRD: 159523 | - | 0 | 0 | - | Unknown |
| Smart Decisions of GA LLC CRD: 143858 | - | 0 | 0 | - | Unknown |
| Smart Financial Group, LLC CRD: 155483 | - | 0 | 2 | - | Unknown |
| Smart Investments Advisory Incorporated CRD: 107778 | - | 0 | 3 | - | Unknown |
| Smart Investor, LLC CRD: 116587 | - | 0 | 0 | - | Unknown |
| Smart Money Advisors CRD: 156633 | - | 0 | 0 | - | Unknown |
| Smart Money Advisors, LLC CRD: 140306 | - | 0 | 0 | - | Unknown |
| Smart Money Advisory Service, LLC CRD: 144372 | - | 0 | 0 | - | Unknown |
| Smart Money Group, LLC CRD: 284187 | - | 0 | 1 | - | Unknown |
| Smart Money Management CRD: 151665 | - | 0 | 0 | - | Unknown |
| Smart Penguin Financial, LLC CRD: 288577 | - | 0 | 0 | - | Unknown |
| Smart Planning LLC CRD: 171073 | - | 0 | 0 | - | Unknown |
| Smart Portfolio CRD: 324633 | - | 0 | 1 | - | Unknown |
| Smart Portfolios, LLC CRD: 131342 | - | 0 | 2 | - | Unknown |
| Smart Society Ventures LLC CRD: 328471 | - | 0 | 1 | - | Unknown |
| Smart Steps Wealth Management LLC CRD: 330411 | - | 0 | 1 | - | Unknown |
| Smart Stewardship Advisors CRD: 136468 | - | 0 | 1 | - | Unknown |
| Smart Street CRD: 206511 | - | 0 | 0 | - | Unknown |
| Smart Street Advisors CRD: 291572 | - | 0 | 0 | - | Unknown |
| Smart TAX and Financial Services CRD: 145448 | - | 0 | 0 | - | Unknown |
| Smart Wealth, LLC CRD: 315496 | - | 0 | 2 | - | Unknown |
| Smart401K, LLC CRD: 129208 | - | 0 | 0 | - | Unknown |
| Smartasset CRD: 307375 | - | 0 | 1 | - | Unknown |
| Smartcourse Advisory, LLC CRD: 334957 | - | 0 | 1 | - | Unknown |
| Smarter and Wise CRD: 325719 | - | 0 | 1 | - | Unknown |
| Smarter Bear Financial Advisory CRD: 325148 | - | 0 | 2 | - | Unknown |
| Smarter Financial Solutions CRD: 310800 | - | 0 | 0 | - | Unknown |
| Smarter Money Consulting CRD: 282636 | - | 0 | 0 | - | Unknown |
| Smartgatevc CRD: 309584 | - | 0 | 0 | - | Unknown |
| Smartgatevc CRD: 326021 | - | 0 | 0 | - | Unknown |
| Smartharvest Portfolios CRD: 334260 | - | 0 | 1 | - | Unknown |
| SMARTMONEY.CO, LLC CRD: 285943 | - | 0 | 0 | - | Unknown |
| Smartpath Advisors CRD: 304563 | - | 0 | 9 | - | Unknown |
| Smartplan Investing CRD: 141977 | - | 0 | 3 | - | Unknown |
| Smartt Wealth Solutions, LLC CRD: 171535 | - | 0 | 2 | - | Unknown |
| Smartup Management LLC CRD: 304580 | - | 0 | 0 | - | Unknown |
| Smartx Advisory Solutions CRD: 167966 | - | 0 | 0 | - | Unknown |
| Smartx Advisory Solutions CRD: 297680 | - | 0 | 2 | - | Unknown |
| Smash Ventures Management Company LP CRD: 299799 | - | 0 | 1 | - | Unknown |
| Smathers Financial Group, Inc. CRD: 130349 | - | 0 | 0 | - | Unknown |
| Smay Investments CRD: 121788 | - | 0 | 0 | - | Unknown |
| SMB Financial Services, Inc. CRD: 154216 | - | 0 | 1 | - | Unknown |
| SMBC Asset Management, Inc. CRD: 109691 | - | 0 | 1 | - | Unknown |
| SMBC Nikko Securities America, Inc. CRD: 28602 | NY | 1 | 9 | C | Active |
| SMBC Nikko Securities Canada, Ltd. CRD: 297706 | NY | 0 | 2 | A | Active |
| SMBX Capital LLC CRD: 323883 | - | 0 | 1 | - | Unknown |
| SMC Advisory Network, LLC CRD: 165389 | - | 0 | 0 | - | Unknown |
| SMC Financial, Inc. CRD: 37373 | - | 0 | 0 | A | INACTIVE |
| SMC Global USA Inc. CRD: 226666 | - | 0 | 0 | - | Unknown |
| SMC Option Management, LLC CRD: 120857 | - | 8 | 0 | D | INACTIVE |