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 |
|---|---|---|---|---|---|
| Sound Portfolio Advisors, LLC CRD: 125511 | - | 0 | 2 | - | Unknown |
| Sound Securities, LLC CRD: 122677 | - | 0 | 0 | A | INACTIVE |
| Sound Sense Money Management LLC CRD: 168327 | - | 0 | 0 | - | Unknown |
| Sound Shore Management Inc CRD: 112379 | - | 0 | 2 | - | Unknown |
| Sound Stewardship, LLC CRD: 129755 | - | 0 | 2 | - | Unknown |
| Sound Trust Wealth Advisors, LLC CRD: 134344 | - | 0 | 1 | - | Unknown |
| Sound View Financial Advisors CRD: 154732 | - | 0 | 1 | - | Unknown |
| Sound View Financial Services CRD: 169034 | - | 0 | 1 | - | Unknown |
| Sound View Wealth Advisors Group, LLC CRD: 300927 | - | 0 | 9 | - | Unknown |
| Sound View Wealth Advisors, LLC CRD: 291457 | - | 0 | 0 | - | Unknown |
| Sound Wealth LLC CRD: 329237 | - | 0 | 1 | - | Unknown |
| Sound Wealth Management CRD: 320684 | - | 0 | 0 | - | Unknown |
| Soundhaven Capital Management CRD: 170821 | - | 0 | 2 | - | Unknown |
| Soundlink Partners, LLC CRD: 281443 | - | 0 | 0 | - | Unknown |
| Soundpath Investment Advisors, LLC CRD: 133587 | - | 0 | 0 | - | Unknown |
| Soundpath Retirement Strategies, LLC CRD: 315590 | - | 0 | 1 | - | Unknown |
| Soundpost Advisory CRD: 306215 | - | 0 | 2 | - | Unknown |
| Soundriver Advisors, LLC CRD: 166628 | - | 0 | 0 | - | Unknown |
| Soundview Advisors CRD: 114437 | - | 0 | 4 | - | Unknown |
| Soundview Capital Management Corporation CRD: 120532 | - | 0 | 0 | - | Unknown |
| Soundview Private Wealth Advisors CRD: 340845 | - | 0 | 1 | - | Unknown |
| Soundview Technology Corporation CRD: 15425 | - | 6 | 0 | D | INACTIVE |
| Soundwatch Capital, LLC CRD: 173151 | - | 0 | 1 | - | Unknown |
| Source Advisors, LLC CRD: 282628 | - | 0 | 0 | - | Unknown |
| Source Capital CRD: 160698 | - | 0 | 0 | - | Unknown |
| Source Capital CRD: 160713 | - | 0 | 0 | - | Unknown |
| Source Capital Credit Opportunities Advisors III, … CRD: 291304 | - | 0 | 0 | - | Unknown |
| Source Capital Group, Inc. CRD: 36719 | - | 12 | 0 | D | INACTIVE |
| Source Capital, LLC CRD: 325758 | - | 0 | 1 | - | Unknown |
| Source Financial Services, Inc. CRD: 17676 | - | 0 | 0 | A | INACTIVE |
| Source Investments, Inc. CRD: 8459 | - | 0 | 0 | A | INACTIVE |
| Source Securities, Inc. CRD: 8026 | - | 0 | 0 | A | INACTIVE |
| Sourcerock Group LLC CRD: 307575 | - | 0 | 1 | - | Unknown |
| Sourdough Ventures, LLC CRD: 340428 | - | 0 | 1 | - | Unknown |
| Sousa Financial CRD: 127785 | - | 0 | 2 | - | Unknown |
| South Africa Alpha Capital Management Ltd. CRD: 282692 | - | 0 | 0 | - | Unknown |
| South Atlantic Enterprises, Inc. CRD: 42790 | NC | 0 | 2 | A | Active |
| South Atlantic Securities, Inc. CRD: 10201 | - | 0 | 0 | A | INACTIVE |
| South BAY Advisors, LLC. CRD: 283268 | - | 0 | 0 | - | Unknown |
| South BAY Financial Partners CRD: 175015 | - | 0 | 2 | - | Unknown |
| South BAY Partners LLC CRD: 307534 | - | 0 | 1 | - | Unknown |
| South Beach Capital Management, LLC CRD: 153451 | - | 0 | 0 | - | Unknown |
| South Beach Capital Markets Incorporated CRD: 30003 | - | 4 | 0 | C | INACTIVE |
| South Beach Securities, Inc. CRD: 15130 | - | 0 | 0 | A | INACTIVE |
| South Brook Asset Management LLC CRD: 322295 | - | 0 | 0 | - | Unknown |
| South Carolina Real Estate Securities, Inc. CRD: 14206 | - | 0 | 0 | A | INACTIVE |
| South Central Securities, Inc. CRD: 10193 | - | 0 | 0 | A | INACTIVE |
| South County Wealth Planning CRD: 323650 | - | 0 | 1 | - | Unknown |
| South Cove Financial, LLC CRD: 284554 | - | 0 | 1 | - | Unknown |
| South Dakota First Capital Management, LLC CRD: 328241 | - | 0 | 1 | - | Unknown |