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 |
|---|---|---|---|---|---|
| Socratic Ventures CRD: 321626 | - | 0 | 1 | - | Unknown |
| Sodalite Financial Services, LLC CRD: 136668 | - | 1 | 0 | B | INACTIVE |
| Soderberg & Company CRD: 3452 | - | 0 | 0 | A | INACTIVE |
| Sodium Advisors Inc. CRD: 300087 | - | 0 | 1 | - | Unknown |
| Soerens, Todd Richard CRD: 34111 | - | 0 | 0 | A | INACTIVE |
| Soesbe Financial CRD: 307384 | - | 0 | 1 | - | Unknown |
| SOF Advisors LLC CRD: 285409 | - | 0 | 0 | - | Unknown |
| SOF Management, LLC CRD: 138787 | - | 0 | 0 | - | Unknown |
| SOF Securities, L.L.C. CRD: 43915 | - | 0 | 0 | A | INACTIVE |
| SOF Spectrum Capital Management, LLC CRD: 316108 | - | 0 | 1 | - | Unknown |
| Sofi Securities LLC CRD: 151717 | CA | 2 | 6 | C | Active |
| Sofi Wealth LLC CRD: 167958 | - | 0 | 112 | - | Unknown |
| Sofinnova Investments, Inc. CRD: 160297 | - | 0 | 1 | - | Unknown |
| Sofinnova Partners CRD: 164104 | - | 0 | 0 | - | Unknown |
| Sofis Consulting, LLC CRD: 172365 | - | 0 | 0 | - | Unknown |
| Softbank, Inc. CRD: 163118 | - | 0 | 1 | - | Unknown |
| Softeq Advisors LLC CRD: 321141 | - | 0 | 0 | - | Unknown |
| Softeq Advisors LLC CRD: 329495 | - | 0 | 1 | - | Unknown |
| Softtech VC Inc. CRD: 160391 | - | 0 | 1 | - | Unknown |
| Softvest Advisors CRD: 300084 | - | 0 | 1 | - | Unknown |
| Softwealth CRD: 175315 | - | 0 | 1 | - | Unknown |
| Sogotrade, Inc. CRD: 17912 | MO | 9 | 4 | C | Active |
| Sohan Capital, LLC CRD: 307777 | - | 0 | 0 | - | Unknown |
| Soho Financial Services LLC CRD: 142510 | - | 0 | 2 | - | Unknown |
| Soho Income Advisors LLC CRD: 165316 | - | 0 | 0 | - | Unknown |
| Soho Square Capital LLP CRD: 304770 | - | 0 | 0 | - | Unknown |
| Soina Financial Group, LLC CRD: 326460 | - | 0 | 1 | - | Unknown |
| Soje Capital, LLC CRD: 164555 | - | 0 | 0 | - | Unknown |
| Sojourn Financial Strategies, LLC CRD: 142670 | - | 0 | 0 | - | Unknown |
| SOL Capital Management Co CRD: 110226 | - | 0 | 0 | - | Unknown |
| SOL Financial CRD: 333387 | - | 0 | 1 | - | Unknown |
| SOL Trading, L.P. CRD: 131366 | - | 1 | 0 | B | INACTIVE |
| Solace Capital Partners, L.P. CRD: 175319 | - | 0 | 1 | - | Unknown |
| Solamere Capital, LLC CRD: 156902 | - | 0 | 1 | - | Unknown |
| Solana Capital Partners, LLC CRD: 290943 | - | 0 | 0 | - | Unknown |
| Solana Capital Trading CRD: 317304 | - | 0 | 0 | - | Unknown |
| Solano Wealth Advisors CRD: 322037 | - | 0 | 1 | - | Unknown |
| Solano Wealth Management, Inc. CRD: 168720 | - | 0 | 0 | - | Unknown |
| Solar Equity Partners LLC CRD: 326457 | - | 0 | 1 | - | Unknown |
| Solarbeam Capital, LLC CRD: 296919 | - | 0 | 0 | - | Unknown |
| Solari Investment Advisory Services, LLC CRD: 144109 | - | 0 | 0 | - | Unknown |
| Solaria Management LP CRD: 325252 | - | 0 | 0 | - | Unknown |
| Solaris Advisors, LLC CRD: 136683 | - | 0 | 0 | - | Unknown |
| Solaris Alternative Capital Partners, L.P. CRD: 142203 | - | 1 | 0 | B | INACTIVE |
| Solaris Asset Management CRD: 129650 | - | 0 | 0 | - | Unknown |
| Solaris Capital Advisors (HK) Limited CRD: 307935 | - | 0 | 0 | - | Unknown |
| Solaris Management CRD: 314401 | - | 0 | 0 | - | Unknown |
| Solaris Private Wealth Management CRD: 140180 | - | 0 | 1 | - | Unknown |
| Solaris Securities, Inc. CRD: 31998 | - | 4 | 0 | C | INACTIVE |
| Solaris Strategic Wealth CRD: 339657 | - | 0 | 4 | - | Unknown |