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 |
|---|---|---|---|---|---|
| Sonamu Group LP CRD: 324293 | - | 0 | 1 | - | Unknown |
| Sonar Wealth, LLC CRD: 332945 | - | 0 | 0 | - | Unknown |
| Sonas Financial Group, Inc. CRD: 122547 | - | 0 | 2 | - | Unknown |
| Sonas Financial Planning CRD: 316677 | - | 0 | 1 | - | Unknown |
| Sonata Capital Group Inc CRD: 111277 | - | 0 | 6 | - | Unknown |
| Sondag Trading, L.P. CRD: 35095 | - | 0 | 0 | A | INACTIVE |
| Sonder Financial Advisors CRD: 289089 | - | 0 | 0 | - | Unknown |
| Sonder Partners CRD: 312374 | - | 0 | 3 | - | Unknown |
| Sonder Partners, LLC CRD: 336828 | - | 0 | 1 | - | Unknown |
| Sondhi Capital, LLC CRD: 155825 | - | 0 | 1 | - | Unknown |
| Sondo FI CRD: 327908 | - | 0 | 1 | - | Unknown |
| Sondra C. Rabin CRD: 104006 | - | 0 | 0 | A | INACTIVE |
| Sonen Capital LLC CRD: 159461 | - | 0 | 1 | - | Unknown |
| Sonenshine & Company LLC CRD: 104357 | NY | 2 | 2 | B | Active |
| Songbird Capital, LLC CRD: 158074 | - | 0 | 1 | - | Unknown |
| Sonic GP LLC CRD: 322801 | - | 0 | 1 | - | Unknown |
| Sonica Capital CRD: 163702 | - | 0 | 0 | - | Unknown |
| Sonken, Kenneth Theodore CRD: 34309 | - | 0 | 0 | A | INACTIVE |
| Sonmore Financial LLC CRD: 311485 | - | 0 | 1 | - | Unknown |
| Sonnenblick-Goldman Equities Corporation CRD: 14630 | - | 0 | 0 | A | INACTIVE |
| Sonnet Financial Technologies LLC CRD: 310998 | - | 0 | 0 | - | Unknown |
| Sonnet, LLC CRD: 282882 | - | 0 | 1 | - | Unknown |
| Sonoma Allocations CRD: 335435 | - | 0 | 1 | - | Unknown |
| Sonoma Asset Management CRD: 133602 | - | 0 | 0 | - | Unknown |
| Sonoma Brands Capital CRD: 296285 | - | 0 | 1 | - | Unknown |
| Sonoma Creek Capital, LLC CRD: 173550 | - | 0 | 0 | - | Unknown |
| Sonoma Private Wealth LLC CRD: 308547 | - | 0 | 4 | - | Unknown |
| Sonoma Securities Corporation CRD: 13002 | - | 0 | 0 | A | INACTIVE |
| Sonoma Securities Corporation CRD: 136777 | - | 0 | 0 | - | Unknown |
| Sonoma West Advisors CRD: 138687 | - | 0 | 1 | - | Unknown |
| Sonoman Investments LLC CRD: 170794 | - | 0 | 0 | - | Unknown |
| Sontag Securities LLC CRD: 127857 | - | 0 | 0 | A | INACTIVE |
| Sony Ventures Corporation CRD: 321945 | - | 0 | 0 | - | Unknown |
| SOO Financial L.L.C. CRD: 129361 | - | 0 | 1 | - | Unknown |
| Sooner Sight LLC CRD: 147394 | - | 0 | 0 | A | INACTIVE |
| Soos Global Capital Advisors, LLC CRD: 151632 | - | 0 | 0 | - | Unknown |
| Sootchy Securities, LLC CRD: 307621 | - | 0 | 1 | - | Unknown |
| SOP Advisors LLC CRD: 327214 | - | 0 | 1 | - | Unknown |
| Sophis Investments LLC CRD: 170391 | - | 0 | 6 | - | Unknown |
| Sophos Wealth Management CRD: 313667 | - | 0 | 1 | - | Unknown |
| Sophronia Wealth Advisors CRD: 329967 | - | 0 | 1 | - | Unknown |
| Sora Investors CRD: 317257 | - | 0 | 1 | - | Unknown |
| Sora Wealth, LLC CRD: 313208 | - | 0 | 1 | - | Unknown |
| Sorensen Financial Management CRD: 113297 | - | 0 | 1 | - | Unknown |
| Sorenson Impact Advisory CRD: 324124 | - | 0 | 1 | - | Unknown |
| Sorenson Investments CRD: 144399 | - | 0 | 0 | - | Unknown |
| Sorfis Investments, LLC CRD: 300363 | - | 0 | 2 | - | Unknown |
| Soriano, Anthony Harold CRD: 33869 | - | 0 | 0 | A | INACTIVE |
| Sorrento Associates, Inc. CRD: 16838 | - | 2 | 0 | B | INACTIVE |
| Sorsby Financial Corp. CRD: 39437 | FL | 0 | 5 | A | Active |