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 |
|---|---|---|---|---|---|
| Solomon API LLC CRD: 159471 | - | 0 | 2 | - | Unknown |
| Solomon Asset Management CRD: 116576 | - | 0 | 0 | - | Unknown |
| Solomon Group Financial Services, LLC CRD: 166519 | - | 0 | 0 | - | Unknown |
| Solomon Hess Capital Management CRD: 158481 | - | 0 | 1 | - | Unknown |
| Solomon Investment Consulting, Inc. CRD: 281606 | - | 0 | 1 | - | Unknown |
| Solomon Investment Group, Inc. CRD: 144575 | - | 0 | 1 | - | Unknown |
| Solomon Partners Securities, LLC CRD: 28041 | NY | 1 | 5 | B | Active |
| Solon Financial Services, L.P. CRD: 36966 | - | 0 | 0 | A | INACTIVE |
| Solos Advisor LLC CRD: 316302 | - | 0 | 0 | - | Unknown |
| Solpacific, LLC CRD: 315184 | - | 0 | 1 | - | Unknown |
| Solstein Capital, LLC CRD: 157888 | - | 0 | 1 | - | Unknown |
| Solstice Capital Management Corporation CRD: 160609 | - | 0 | 0 | - | Unknown |
| Solstice Guard Capital CRD: 342641 | - | 0 | 1 | - | Unknown |
| Solstice Investment Research, LLC CRD: 153423 | - | 0 | 0 | A | INACTIVE |
| Solum Partners CRD: 310213 | - | 0 | 1 | - | Unknown |
| Solus Alternative Asset Management LP CRD: 144155 | - | 0 | 1 | - | Unknown |
| Solutia Global, LLC CRD: 170441 | - | 0 | 1 | - | Unknown |
| Solution Factory, LLC CRD: 324069 | - | 0 | 2 | - | Unknown |
| Solutions 4 Wealth CRD: 143248 | - | 0 | 3 | - | Unknown |
| Solutions First Financial Group CRD: 316394 | - | 0 | 0 | - | Unknown |
| Solutions for Divorce CRD: 175340 | - | 0 | 2 | - | Unknown |
| Solutions for Tuition CRD: 145651 | - | 0 | 0 | - | Unknown |
| Solutions Funds Group, Inc. CRD: 158949 | - | 0 | 0 | - | Unknown |
| Solve Consulting Group, LLC CRD: 319465 | - | 0 | 1 | - | Unknown |
| Solyco Capital LLC CRD: 338113 | - | 0 | 1 | - | Unknown |
| Solyco Wealth LLC CRD: 314981 | - | 0 | 5 | - | Unknown |
| Solytix Capital, LLC CRD: 137333 | - | 0 | 0 | - | Unknown |
| Soma Equity Partners, LP CRD: 283613 | - | 0 | 1 | - | Unknown |
| Soma Partners, LLC CRD: 47744 | - | 0 | 0 | A | INACTIVE |
| Soma Ventures, LP CRD: 311804 | - | 0 | 1 | - | Unknown |
| Soman Advisors LLC CRD: 334599 | - | 0 | 3 | - | Unknown |
| Somayaji Asset Management CRD: 160927 | - | 0 | 0 | - | Unknown |
| Somed Financial, LLC CRD: 126463 | - | 0 | 0 | A | INACTIVE |
| Someday Advisors CRD: 314615 | - | 0 | 1 | - | Unknown |
| Somers, Grove & Co., Inc. CRD: 5294 | - | 0 | 0 | A | INACTIVE |
| Somerset Capital Corp. CRD: 23680 | - | 0 | 0 | A | INACTIVE |
| Somerset Capital Management Singapore PTE. Ltd. CRD: 169282 | - | 0 | 0 | - | Unknown |
| Somerset Cpas, P.C. CRD: 112848 | - | 0 | 0 | - | Unknown |
| Somerset Financial Group, Inc. CRD: 46507 | - | 7 | 0 | C | INACTIVE |
| Somerset Group LLC CRD: 160282 | - | 0 | 2 | - | Unknown |
| Somerset Securities, Inc. CRD: 2493 | OR | 2 | 3 | B | Active |
| Somerset Wealth Strategies, LLC CRD: 136240 | - | 0 | 0 | - | Unknown |
| Somerville Associates CRD: 124214 | - | 0 | 2 | - | Unknown |
| Somnio Financial Group, LLC CRD: 174217 | - | 0 | 1 | - | Unknown |
| Sompo Asset Management Co., Ltd. CRD: 286479 | - | 0 | 0 | - | Unknown |
| Sona Asset Management (HK) Limited CRD: 334729 | - | 0 | 0 | - | Unknown |
| Sona Asset Management (UK) LLP CRD: 300668 | - | 0 | 0 | - | Unknown |
| Sona Asset Management (US) LLC CRD: 291738 | - | 0 | 1 | - | Unknown |
| Sona Financial LLC CRD: 285333 | - | 0 | 0 | - | Unknown |
| Sona Wealth, Sona Wealth Management, Sona Wealth A… CRD: 281976 | - | 0 | 1 | - | Unknown |