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 |
|---|---|---|---|---|---|
| SMS Financial Services, Inc. CRD: 42419 | - | 0 | 0 | A | INACTIVE |
| SMYTH Landis Asset Management, Inc. CRD: 142105 | - | 0 | 0 | - | Unknown |
| SMYTH Securities, Inc. CRD: 24082 | - | 0 | 0 | A | INACTIVE |
| SMYTH, Akins & Lerch, Inc. CRD: 3447 | - | 0 | 0 | A | INACTIVE |
| SMYTH, Andrew Walsh CRD: 116293 | - | 1 | 0 | B | INACTIVE |
| SN Private Wealth Group, LLC CRD: 340495 | - | 0 | 1 | - | Unknown |
| Snak Venture Partners Management, LLC CRD: 333773 | - | 0 | 1 | - | Unknown |
| Snake River Investment Counsel LLC CRD: 314200 | - | 0 | 1 | - | Unknown |
| Snapper Trading, LLC CRD: 106188 | - | 0 | 0 | A | INACTIVE |
| Snavely Associates Financial Services CRD: 144405 | - | 0 | 1 | - | Unknown |
| SNB Securities, Inc. CRD: 32320 | - | 0 | 0 | A | INACTIVE |
| SNC Wealth Management LLC CRD: 317066 | - | 0 | 2 | - | Unknown |
| SNI Financial CRD: 333621 | - | 0 | 0 | - | Unknown |
| Snider Advisors CRD: 120943 | - | 0 | 1 | - | Unknown |
| Snider Financial Group CRD: 117392 | - | 0 | 8 | - | Unknown |
| Snider Talbot Financial Planning LLC CRD: 144026 | - | 0 | 3 | - | Unknown |
| Snider-Lund Securities, Inc. CRD: 6734 | - | 0 | 0 | A | INACTIVE |
| SNO Management, LLC CRD: 315989 | - | 0 | 1 | - | Unknown |
| Snook Housey Advisors, Inc. CRD: 165144 | - | 0 | 0 | - | Unknown |
| Snow Capital Management, L.P. CRD: 106516 | - | 0 | 0 | - | Unknown |
| Snow Creek Wealth Management CRD: 142983 | - | 0 | 0 | - | Unknown |
| Snow Financial Management, LLC CRD: 131068 | - | 0 | 2 | - | Unknown |
| Snow Lake Capital (HK) Limited CRD: 161823 | - | 0 | 0 | - | Unknown |
| Snow Lake Capital Limited CRD: 161824 | - | 0 | 0 | - | Unknown |
| Snow Lake Management LP CRD: 322971 | - | 0 | 0 | - | Unknown |
| Snow Park Capital Partners, LP CRD: 273041 | - | 0 | 0 | - | Unknown |
| Snow Peak Capital, LLC CRD: 321648 | - | 0 | 1 | - | Unknown |
| Snow Phipps Group, LLC CRD: 158024 | - | 0 | 1 | - | Unknown |
| Snow Ventures CRD: 284254 | - | 0 | 0 | - | Unknown |
| Snow Ventures GP, LLC CRD: 312346 | - | 0 | 0 | - | Unknown |
| Snowball Advisors, LLC CRD: 339613 | - | 0 | 0 | - | Unknown |
| Snowball Finance, Inc. CRD: 299954 | - | 0 | 0 | - | Unknown |
| Snowball Securities LLC CRD: 311007 | - | 0 | 0 | A | INACTIVE |
| Snowball Wealth Management CRD: 137419 | - | 0 | 2 | - | Unknown |
| Snowbird Financial LLC CRD: 164999 | - | 0 | 1 | - | Unknown |
| Snowbridge Securities LLC CRD: 301996 | FL | 0 | 2 | A | Active |
| Snowcap Financial CRD: 313353 | - | 0 | 1 | - | Unknown |
| Snowcrest Capital CRD: 169223 | - | 0 | 0 | - | Unknown |
| Snowden Account Services LLC CRD: 149794 | NY | 0 | 16 | A | Active |
| Snowhawk LP CRD: 325176 | - | 0 | 1 | - | Unknown |
| Snowmass Securities Corporation CRD: 10022 | - | 0 | 0 | A | INACTIVE |
| Snowpoint Ventures Management, LLC CRD: 325382 | - | 0 | 1 | - | Unknown |
| SNP Financial Advisors CRD: 312810 | - | 0 | 0 | - | Unknown |
| SNP Investing Inc CRD: 173837 | - | 0 | 0 | - | Unknown |
| SNR Ventures CRD: 282706 | - | 0 | 1 | - | Unknown |
| SNS Advisory Group CRD: 281339 | - | 0 | 0 | - | Unknown |
| Snug Harbor Capital Management, LLC CRD: 133453 | - | 0 | 1 | - | Unknown |
| Snyder Asset Management CRD: 153706 | - | 0 | 0 | - | Unknown |
| Snyder Wealth Group CRD: 106425 | - | 0 | 5 | - | Unknown |
| Snyder, Scott a CRD: 34887 | - | 0 | 0 | A | INACTIVE |