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 |
|---|---|---|---|---|---|
| SO LLC CRD: 335596 | - | 0 | 2 | - | Unknown |
| Soapstone Management L.P. CRD: 162936 | - | 0 | 1 | - | Unknown |
| Soar Financial LLC CRD: 309772 | - | 0 | 4 | - | Unknown |
| Soar Investment Opportunities, LLC CRD: 300437 | - | 0 | 0 | - | Unknown |
| Soard Financial Management, LLC CRD: 156392 | - | 0 | 6 | - | Unknown |
| Soares Financial Group, Inc. CRD: 16286 | - | 0 | 0 | A | INACTIVE |
| Soares Financial, Inc. CRD: 120056 | - | 0 | 2 | - | Unknown |
| Soaring Wealth LLC CRD: 299867 | - | 0 | 1 | - | Unknown |
| Sobel Financial LLC CRD: 304019 | - | 0 | 1 | - | Unknown |
| Sobey Road Capital Management, LLC CRD: 335539 | - | 0 | 1 | - | Unknown |
| Sobitz Financial Group, LLC CRD: 337210 | - | 0 | 1 | - | Unknown |
| Sobol, Michael J CRD: 104130 | - | 0 | 0 | A | INACTIVE |
| Sobol, Michael John CRD: 33934 | - | 0 | 0 | A | INACTIVE |
| Sobora Capital CRD: 288237 | - | 0 | 1 | - | Unknown |
| Sobre Ruedas Capital I, LLC CRD: 286412 | - | 0 | 1 | - | Unknown |
| Socal Planners, Inc CRD: 173062 | - | 0 | 1 | - | Unknown |
| Socgen-Crosby Securities Inc. CRD: 30442 | - | 0 | 0 | A | INACTIVE |
| Socha Capital Energy Fund 2023 Management LLC CRD: 330524 | - | 0 | 1 | - | Unknown |
| Socha Financial Group CRD: 108120 | - | 0 | 0 | - | Unknown |
| Socha Financial Group, LLC CRD: 299263 | - | 0 | 1 | - | Unknown |
| Sochet & Company CRD: 16685 | - | 0 | 0 | A | INACTIVE |
| Sochet & Company, Inc. CRD: 17705 | - | 1 | 0 | B | INACTIVE |
| Social Capital CRD: 161244 | - | 0 | 0 | - | Unknown |
| Social Capital CRD: 283280 | - | 0 | 0 | - | Unknown |
| Social Capital CRD: 304525 | - | 0 | 0 | - | Unknown |
| Social Capital Partner's Inc. CRD: 46898 | - | 0 | 0 | A | INACTIVE |
| Social Impact Capital, L.L.C. CRD: 305283 | - | 0 | 1 | - | Unknown |
| Social Impact Investments Inc. CRD: 297095 | - | 0 | 1 | - | Unknown |
| Social Investment Managers and Advisors, LLC CRD: 309110 | - | 0 | 1 | - | Unknown |
| Social Invstr CRD: 309923 | - | 0 | 0 | A | INACTIVE |
| Social Justice Capital LLC CRD: 333569 | - | 0 | 1 | - | Unknown |
| Social Leverage Advisors, LLC CRD: 292690 | - | 0 | 1 | - | Unknown |
| Social Responsibility Investment Group, Inc. CRD: 110624 | - | 0 | 0 | - | Unknown |
| Socialtrader CRD: 326985 | - | 0 | 1 | - | Unknown |
| Socialyte Capital CRD: 284439 | - | 0 | 0 | - | Unknown |
| Socialyte Capital, LLC CRD: 322208 | - | 0 | 0 | - | Unknown |
| Societe Generale Bannon, L.L.C. CRD: 42731 | - | 0 | 0 | A | INACTIVE |
| Society Investments, Inc. CRD: 17656 | - | 0 | 0 | A | INACTIVE |
| Society of Grownups, LLC CRD: 171855 | - | 0 | 0 | - | Unknown |
| Socimer Securities Corporation CRD: 32011 | - | 0 | 0 | A | INACTIVE |
| Socio-Economico CRD: 333104 | - | 0 | 1 | - | Unknown |
| Socius Family Office, LLC CRD: 137800 | - | 0 | 0 | - | Unknown |
| Socket Capital Funds, LLC CRD: 320653 | - | 0 | 1 | - | Unknown |
| Soco Securities Company, Inc. CRD: 10561 | - | 0 | 0 | A | INACTIVE |
| Socorro Asset Management CRD: 304401 | - | 0 | 1 | - | Unknown |
| Socorro Ventures CRD: 325149 | - | 0 | 1 | - | Unknown |
| Socotra Capital, Inc. CRD: 283432 | - | 0 | 0 | - | Unknown |
| Socotra Management, Inc. CRD: 328954 | - | 0 | 1 | - | Unknown |
| Socrates CRD: 316464 | - | 0 | 0 | - | Unknown |
| Socratic Fund Management, LP CRD: 161255 | - | 0 | 0 | - | Unknown |