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 |
|---|---|---|---|---|---|
| SMC Portfolio Management CRD: 143850 | - | 0 | 0 | - | Unknown |
| SMC Securities Incorporated CRD: 6830 | - | 0 | 0 | A | INACTIVE |
| Smeac Financial, LLC CRD: 308990 | - | 0 | 1 | - | Unknown |
| Smead Funds Distributors, LLC CRD: 173734 | ME | 0 | 8 | A | Active |
| Smedley Financial Services Inc CRD: 110870 | - | 0 | 5 | - | Unknown |
| Smeltzer Risk Analytics CRD: 317991 | - | 0 | 0 | - | Unknown |
| Smetek, VAN Horn and Cormack, Inc. CRD: 10698 | - | 0 | 0 | A | INACTIVE |
| SMG Securities, Inc. CRD: 17406 | NY | 0 | 2 | A | Active |
| SMH Capital Advisors LLC CRD: 108344 | - | 0 | 2 | - | Unknown |
| SMH Incorporated CRD: 7350 | - | 0 | 0 | A | INACTIVE |
| SMH Life Sciences Management, LLC CRD: 163055 | - | 0 | 0 | - | Unknown |
| SMH PEG Management II, LLC CRD: 163049 | - | 0 | 0 | - | Unknown |
| SMI Advisors LLC CRD: 226544 | - | 0 | 0 | - | Unknown |
| SMI Advisory Services, LLC CRD: 137872 | - | 0 | 2 | - | Unknown |
| SMI Capital Markets LLC CRD: 156441 | WA | 0 | 3 | A | Active |
| SMI Securities, Inc. CRD: 17873 | - | 0 | 0 | A | INACTIVE |
| Smilen Investment Research and Management Incorpor… CRD: 5385 | - | 0 | 0 | A | INACTIVE |
| Smith & Associates Financial Services, LLC CRD: 331842 | - | 0 | 2 | - | Unknown |
| Smith & Associates, Cpas CRD: 156082 | - | 0 | 0 | - | Unknown |
| Smith & Co Advisory LLC CRD: 333042 | - | 0 | 1 | - | Unknown |
| Smith & COX, LLC CRD: 149088 | - | 0 | 0 | - | Unknown |
| Smith & Gesteland, LLP CRD: 113244 | - | 0 | 0 | - | Unknown |
| Smith & Howard Wealth Management, LLC CRD: 109540 | - | 0 | 1 | - | Unknown |
| Smith & Lawrence Company CRD: 3434 | - | 0 | 0 | A | INACTIVE |
| Smith & Wyatt CRD: 285310 | - | 0 | 7 | - | Unknown |
| Smith Advisory CRD: 281663 | - | 0 | 1 | - | Unknown |
| Smith Affiliated Capital Corp. CRD: 107675 | - | 0 | 1 | - | Unknown |
| Smith Anglin Financial, LLC CRD: 144386 | - | 0 | 0 | - | Unknown |
| Smith Asset Management Co., LLC CRD: 127684 | - | 0 | 2 | - | Unknown |
| Smith Asset Management, Inc. CRD: 43164 | - | 1 | 0 | B | INACTIVE |
| Smith Asset Management, Inc. CRD: 123727 | - | 0 | 0 | - | Unknown |
| Smith Associates, LLC CRD: 142408 | - | 0 | 0 | - | Unknown |
| Smith Bellingham International, Inc. CRD: 7734 | - | 0 | 0 | A | INACTIVE |
| Smith Borkum Hare Inc CRD: 38005 | - | 0 | 0 | A | INACTIVE |
| Smith Brook Investment Advisors, LLC CRD: 281821 | - | 0 | 0 | - | Unknown |
| Smith Brothers Financial, LLC CRD: 322951 | - | 0 | 3 | - | Unknown |
| Smith Bruer CRD: 284508 | - | 0 | 3 | - | Unknown |
| Smith Capital Management CRD: 169788 | - | 0 | 0 | - | Unknown |
| Smith Capital Markets, LLC. CRD: 121430 | TX | 1 | 2 | B | Active |
| Smith CFP, Karyn CRD: 321738 | - | 0 | 1 | - | Unknown |
| Smith Company Financial Advisors / Fusion Funds CRD: 125488 | - | 0 | 3 | - | Unknown |
| Smith Cove Capital Management LP CRD: 285654 | - | 0 | 0 | - | Unknown |
| Smith Diversified Financial Enterprises CRD: 14140 | - | 0 | 0 | A | INACTIVE |
| Smith Equities,Inc. CRD: 11080 | - | 0 | 0 | A | INACTIVE |
| Smith Financial CRD: 154022 | - | 0 | 1 | - | Unknown |
| Smith Financial LLC CRD: 340796 | - | 0 | 1 | - | Unknown |
| Smith Financial Services CRD: 130637 | - | 0 | 0 | - | Unknown |
| Smith Group Asset Management CRD: 106301 | - | 0 | 0 | - | Unknown |
| Smith Group Asset Management, LLC CRD: 313265 | - | 0 | 5 | - | Unknown |
| Smith Hayes Advisers Inc CRD: 110776 | - | 0 | 0 | - | Unknown |