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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
South Fork Securities
CRD: 311469
 - 0 0 A INACTIVE
South Gate Labs Inc.
CRD: 332893
 - 0 0 - Unknown
South Gate Labs, Inc
CRD: 340661
 - 0 1 - Unknown
South Group Investment Services, Inc.
CRD: 35843
 - 0 0 A INACTIVE
South Hampton Preferred Equities, Inc.
CRD: 24783
 - 0 0 A INACTIVE
South Harbor Management LLC
CRD: 311952
 - 0 0 - Unknown
South Howard Capital Management, LLC
CRD: 288329
 - 0 0 - Unknown
South Jersey Advisors, LLC
CRD: 162068
 - 0 0 - Unknown
South Lake Avenue Securities Corporation
CRD: 137387
 - 0 0 A INACTIVE
South Lake Wealth Management, LLC
CRD: 313996
 - 0 0 - Unknown
South Lane Wealth Management LLC
CRD: 167439
 - 0 1 - Unknown
South Loop Ventures Management, LLC
CRD: 331484
 - 0 1 - Unknown
South Ocean Management Ltd.
CRD: 111180
 - 0 0 - Unknown
South Pointe Advisors LLC
CRD: 317019
 - 0 1 - Unknown
South Richmond Securities, Inc.
CRD: 14913
 - 0 0 A INACTIVE
South Shore Asset Management, LLC
CRD: 145332
 - 0 0 - Unknown
South Shore Capital Advisors, LLC
CRD: 142915
 - 0 1 - Unknown
South Shore Capital Management LLC
CRD: 309963
 - 0 0 - Unknown
South Shore Investment Services LLC
CRD: 311450
 - 0 2 - Unknown
South Shore Securities, Inc.
CRD: 16830
 - 0 0 A INACTIVE
South Side Digital Capital GP LLC
CRD: 292397
 - 0 0 - Unknown
South Street Advisors, LLC
CRD: 112326
 - 0 1 - Unknown
South Street Capital Management LLC
CRD: 306216
 - 0 0 - Unknown
South Street Securities
CRD: 3357
 - 0 0 A INACTIVE
South Street Securities LLC
CRD: 125202
 NY 1 3 B Active
South Texas Advisors for Retirees, LLC
CRD: 154793
 - 0 1 - Unknown
South Texas Capital Advisors, LLC
CRD: 283773
 - 0 1 - Unknown
South Texas Money Management, Ltd.
CRD: 112188
 - 0 0 - Unknown
South Valley Wealth Management
CRD: 14797
 - 0 0 A INACTIVE
Southard Securities Corporation
CRD: 23236
 - 0 0 A INACTIVE
Southbound Wealth LLC
CRD: 331701
 - 0 1 - Unknown
Southbridge
CRD: 119040
 - 0 0 - Unknown
Southcoast Advisory Group, Inc
CRD: 161543
 - 0 1 - Unknown
Southcoast Investment Group, Inc.
CRD: 43506
 - 1 0 B INACTIVE
Southcol Advisors
CRD: 308154
 - 0 3 - Unknown
Southeast Asset Advisors, LLC
CRD: 107588
 - 0 9 - Unknown
Southeast Bank Brokerage Service, Inc.
CRD: 14953
 - 0 0 A INACTIVE
Southeast Capital Securities Corporation
CRD: 16662
 - 0 0 A INACTIVE
Southeast Europe Management LLC
CRD: 316589
 - 0 0 - Unknown
Southeast Financial Advisors
CRD: 121757
 - 0 1 - Unknown
Southeast Financial Corp.
CRD: 18967
 - 0 0 A INACTIVE
Southeast Financial Group
CRD: 151216
 - 0 0 - Unknown
Southeast Investments, N.C., Inc.
CRD: 43035
 NC 6 23 B Active
Southeast Regional Securities, Inc.
CRD: 30700
 - 0 0 A INACTIVE
Southeast Securities of Florida, Inc.
CRD: 5359
 - 0 0 A INACTIVE
Southeast Venture Partners III, Inc.
CRD: 161469
 - 0 0 - Unknown
Southeastern Advisory Group, Inc.
CRD: 17041
 - 2 0 B INACTIVE
Southeastern Advisory Services Inc
CRD: 109817
 - 0 0 - Unknown
Southeastern Asset Management International (UK) L…
CRD: 145207
 - 0 0 - Unknown
Southeastern Brokerage Services, Inc.
CRD: 10597
 - 0 0 A INACTIVE
Page 1325 of 1601 (80,028 total)
← Prev Next →