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 |
|---|---|---|---|---|---|
| Sort Securities, LLC. CRD: 44326 | - | 4 | 0 | C | INACTIVE |
| Sortino Investment Analytics CRD: 287491 | - | 0 | 0 | - | Unknown |
| Sortis Fund Manager, LLC CRD: 315584 | - | 0 | 1 | - | Unknown |
| Sorum Financial CRD: 123744 | - | 0 | 0 | - | Unknown |
| Sorunke Wealth Advisors CRD: 324023 | - | 0 | 1 | - | Unknown |
| Soseki Wealth Management, LLC CRD: 339503 | - | 0 | 1 | - | Unknown |
| Sosnoff, TOM CRD: 34779 | - | 1 | 0 | B | INACTIVE |
| Sosv Investments LLC (F/K/a Sosventures LLC) CRD: 284976 | - | 0 | 1 | - | Unknown |
| Soteira Capital, LLC CRD: 154586 | - | 0 | 0 | - | Unknown |
| Souede & Hodge Associates CRD: 161778 | - | 0 | 0 | - | Unknown |
| Soul Rider Fund LP CRD: 305971 | - | 0 | 1 | - | Unknown |
| Soul Street Asset Management Co., LLC CRD: 327914 | - | 0 | 1 | - | Unknown |
| Soul Ventures Advisors, LLC CRD: 316312 | - | 0 | 0 | - | Unknown |
| Soul Ventures Group Holdings Limited CRD: 342510 | - | 0 | 0 | - | Unknown |
| Soul Wealthy Financial CRD: 325808 | - | 0 | 0 | - | Unknown |
| Soulence Wealth Management CRD: 340580 | - | 0 | 5 | - | Unknown |
| Soulence Wealth Management, LLC CRD: 167898 | - | 0 | 1 | - | Unknown |
| Sound & Secure Advisors LLC CRD: 322514 | - | 0 | 1 | - | Unknown |
| Sound Advice Financial Inc. CRD: 327104 | - | 0 | 1 | - | Unknown |
| Sound Advice Investments CRD: 15583 | - | 0 | 0 | A | INACTIVE |
| Sound Advisory Services Inc. CRD: 143842 | - | 0 | 2 | - | Unknown |
| Sound Asset Management Group, LLC CRD: 145330 | - | 0 | 1 | - | Unknown |
| Sound Asset Management Inc CRD: 109082 | - | 0 | 0 | - | Unknown |
| Sound Capital CRD: 300582 | - | 0 | 1 | - | Unknown |
| Sound Capital Distributors LLC CRD: 310661 | - | 0 | 0 | A | INACTIVE |
| Sound Capital Solutions LLC CRD: 311034 | - | 0 | 1 | - | Unknown |
| Sound Development, LLC CRD: 283211 | - | 0 | 1 | - | Unknown |
| Sound Energy Partners, Inc. CRD: 129117 | - | 0 | 0 | - | Unknown |
| Sound Financial Center LLC CRD: 125767 | - | 0 | 2 | - | Unknown |
| Sound Financial Investments, Inc. CRD: 288902 | - | 0 | 0 | - | Unknown |
| Sound Financial Solutions LLC CRD: 168588 | - | 0 | 1 | - | Unknown |
| Sound Financial Solutions, Inc. CRD: 292256 | - | 0 | 2 | - | Unknown |
| Sound Financial Strategies Group, LLC CRD: 286261 | - | 0 | 1 | - | Unknown |
| Sound Financial, LLC CRD: 292271 | - | 0 | 2 | - | Unknown |
| Sound Futures CRD: 340439 | - | 0 | 1 | - | Unknown |
| Sound Harbor Partners CRD: 165790 | - | 0 | 0 | - | Unknown |
| Sound Income Strategies, LLC CRD: 173272 | - | 0 | 213 | - | Unknown |
| Sound Income Wealth, LLC CRD: 335726 | FL | 0 | 2 | A | Active |
| Sound Investment Management Inc CRD: 107438 | - | 0 | 3 | - | Unknown |
| Sound Investment Strategies, Inc. CRD: 141440 | - | 0 | 3 | - | Unknown |
| Sound Investments Inc. CRD: 117501 | - | 0 | 2 | - | Unknown |
| Sound Legacy Wealth Advisors, LLC CRD: 306332 | - | 0 | 1 | - | Unknown |
| Sound Mark Partners, LLC CRD: 169037 | - | 0 | 1 | - | Unknown |
| Sound Media Ventures CRD: 331248 | - | 0 | 0 | - | Unknown |
| Sound Money LLC CRD: 331076 | - | 0 | 0 | - | Unknown |
| Sound Money Management, Inc. CRD: 154752 | - | 0 | 1 | - | Unknown |
| Sound Point CLO C-MOA, LLC CRD: 293256 | - | 0 | 1 | - | Unknown |
| Sound Point Commercial Real Estate Finance LLC CRD: 311808 | - | 0 | 1 | - | Unknown |
| Sound Point Luna LLC CRD: 128132 | - | 0 | 1 | - | Unknown |
| Sound Point Meridian Management Company LLC CRD: 329887 | - | 0 | 1 | - | Unknown |