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 |
|---|---|---|---|---|---|
| Smith Hayes Financial Services Corporation CRD: 17059 | - | 4 | 0 | C | INACTIVE |
| Smith Investments & Retirement CRD: 300129 | - | 0 | 0 | - | Unknown |
| Smith Joel Avram CRD: 33985 | - | 0 | 0 | A | INACTIVE |
| Smith Miller Inc. CRD: 17104 | - | 0 | 0 | A | INACTIVE |
| Smith Mitchell Investment Group Inc. CRD: 6987 | - | 0 | 0 | A | INACTIVE |
| Smith NEW Court, Inc. CRD: 10510 | - | 0 | 0 | A | INACTIVE |
| Smith Partners Wealth Management, LLC CRD: 112231 | - | 0 | 3 | - | Unknown |
| Smith Point Capital Ltd CRD: 46042 | - | 0 | 0 | A | INACTIVE |
| Smith Point Institutional Investments, Inc. CRD: 29696 | - | 0 | 0 | A | INACTIVE |
| Smith Programs, Inc. CRD: 16250 | - | 0 | 0 | A | INACTIVE |
| Smith Salley Wealth Management CRD: 129614 | - | 0 | 3 | - | Unknown |
| Smith Securities LLC CRD: 288886 | - | 0 | 5 | - | Unknown |
| Smith Shellnut Wilson CRD: 106235 | - | 0 | 7 | - | Unknown |
| Smith Street Capital CRD: 149161 | - | 0 | 0 | - | Unknown |
| Smith Thornton Advisors, LLC CRD: 312537 | - | 0 | 2 | - | Unknown |
| Smith W B & Co Inc CRD: 105917 | - | 0 | 1 | - | Unknown |
| Smith Wealth Advisors, LLC CRD: 269848 | - | 0 | 0 | - | Unknown |
| Smith Whiley & Co CRD: 107655 | - | 0 | 0 | - | Unknown |
| Smith, Benton & Hughes, Inc. CRD: 20877 | - | 0 | 0 | A | INACTIVE |
| Smith, Blair CRD: 125134 | - | 0 | 1 | - | Unknown |
| Smith, Brown & Groover, Inc. CRD: 1329 | GA | 17 | 3 | D | Active |
| Smith, Hague & Co., Incorporated CRD: 777 | - | 0 | 0 | A | INACTIVE |
| Smith, Joel Avram CRD: 103996 | - | 0 | 0 | A | INACTIVE |
| Smith, Michael, Glen CRD: 329881 | - | 0 | 2 | - | Unknown |
| Smith, Moore & Co. CRD: 3441 | MO | 9 | 16 | B | Active |
| Smith, O. Franklin CRD: 118408 | - | 0 | 0 | - | Unknown |
| Smith, Steven Allen CRD: 121216 | - | 0 | 0 | A | INACTIVE |
| Smith, Vicars of Virginia, Inc. CRD: 13197 | - | 0 | 0 | A | INACTIVE |
| Smith-Thomas Investment Services, Inc. CRD: 21481 | - | 0 | 0 | A | INACTIVE |
| Smithbrook, LLC CRD: 313679 | - | 0 | 3 | - | Unknown |
| Smither & Company Capital Markets, LLC CRD: 139420 | - | 0 | 0 | A | INACTIVE |
| Smithr Capital CRD: 340284 | - | 0 | 1 | - | Unknown |
| Smithwood Advisers, L.P. CRD: 158221 | - | 0 | 0 | - | Unknown |
| SMK Trading, LLC CRD: 124259 | - | 0 | 0 | A | INACTIVE |
| SML Advisory CRD: 275028 | - | 0 | 1 | - | Unknown |
| SML Capital LLC CRD: 153416 | - | 0 | 1 | - | Unknown |
| SMN Capital Partners, L.P. CRD: 234789 | - | 0 | 0 | - | Unknown |
| Smof III Investment Manager, LLC CRD: 299848 | - | 0 | 0 | - | Unknown |
| Smoker, Smith & Associates, PC CRD: 151555 | - | 0 | 0 | - | Unknown |
| Smolic, Svebor CRD: 119615 | - | 0 | 0 | A | INACTIVE |
| Smolin Wealth Advisors, LLC CRD: 170081 | - | 0 | 3 | - | Unknown |
| Smollen, John E. CRD: 116826 | - | 0 | 0 | A | INACTIVE |
| SMP Asset Management, LLC CRD: 162653 | - | 0 | 1 | - | Unknown |
| SMP Capital Corp CRD: 18248 | - | 0 | 0 | A | INACTIVE |
| SMP Financial Planning, LLC CRD: 315300 | - | 0 | 2 | - | Unknown |
| SMQ, LLC CRD: 104001 | - | 0 | 0 | A | INACTIVE |
| SMR Capital Corp. CRD: 29103 | - | 0 | 0 | A | INACTIVE |
| SMR Strategic Investments, LLC CRD: 319433 | - | 0 | 1 | - | Unknown |
| SMS Capital Management CRD: 124788 | - | 0 | 0 | - | Unknown |
| SMS Financial LLC CRD: 147685 | - | 0 | 0 | - | Unknown |