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
Southland Equity Sales Company, Inc.
CRD: 3459
 - 0 0 A INACTIVE
Southland Investment Group, Inc.
CRD: 13806
 - 0 0 A INACTIVE
Southland Investments
CRD: 134478
 - 0 3 - Unknown
Southland Securities Corporation
CRD: 15019
 - 0 0 A INACTIVE
Southland Securities of Texas, Inc.
CRD: 10573
 - 0 0 A INACTIVE
Southland Securities, Inc.
CRD: 7493
 - 0 0 A INACTIVE
Southmark Capital Resource
CRD: 8561
 - 0 0 A INACTIVE
Southmark Consolidated Securities Corporation
CRD: 13451
 - 0 0 A INACTIVE
Southmark Financial Services, Inc.
CRD: 6518
 - 0 0 A INACTIVE
Southmark, Inc.
CRD: 34825
 - 2 0 B INACTIVE
Southmark/Envicon Securities Corp.
CRD: 18746
 - 0 0 A INACTIVE
Southmore Financial Advisory LLC
CRD: 328426
 - 0 1 - Unknown
Southocean Capital Partners, LLC
CRD: 171580
 - 0 1 - Unknown
Southpaw CP Manager LP
CRD: 339218
 - 0 1 - Unknown
Southpointe Distribution Services Inc.
CRD: 25320
 - 0 0 A INACTIVE
Southport Capital
CRD: 113364
 - 0 0 - Unknown
Southport Management, L.L.C.
CRD: 161182
 - 0 0 - Unknown
Southport Partners L.P.
CRD: 23609
 - 0 0 A INACTIVE
Southport Securities Corporation
CRD: 12622
 - 0 0 A INACTIVE
Southport Securities, LLC
CRD: 37215
 - 1 0 B INACTIVE
Southport Station Financial Management, LLC
CRD: 146270
 - 0 3 - Unknown
Southridge Investment Group LLC
CRD: 45531
 - 2 0 B INACTIVE
Southside Capital, LLC
CRD: 293785
 - 0 0 - Unknown
Southside Securities, Inc.
CRD: 153860
 - 0 0 A INACTIVE
Southside Trading LLC
CRD: 104220
 - 0 0 A INACTIVE
Southstate Advisory, Inc.
CRD: 153113
 - 0 0 - Unknown
Southstate Securities Corp.
CRD: 6950
 TN 10 16 B Active
Southtrust Investment Services, Inc.
CRD: 34975
 - 0 0 A INACTIVE
Southtrust Securities, LLC
CRD: 17922
 - 6 0 C INACTIVE
Southward Financial Services, LLC
CRD: 119849
 - 0 3 - Unknown
Southwest Brokerage Consultants, Inc.
CRD: 17883
 - 0 0 A INACTIVE
Southwest Capital Group, Inc.
CRD: 17574
 - 0 0 A INACTIVE
Southwest Capital Securities Corporation
CRD: 21296
 - 0 0 A INACTIVE
Southwest Capital Services Corporation
CRD: 12966
 - 0 0 A INACTIVE
Southwest Clearing Corp.
CRD: 46273
 - 1 0 B INACTIVE
Southwest Corporate Investment Services, LLC
CRD: 44970
 - 0 1 A INACTIVE
Southwest Diversified Investment Corp.
CRD: 23090
 - 0 0 A INACTIVE
Southwest DPM, LLC
CRD: 101700
 - 0 0 A INACTIVE
Southwest Guaranty Securities, Inc.
CRD: 14250
 - 0 0 A INACTIVE
Southwest Insurance Services, Inc.
CRD: 135153
 - 0 0 - Unknown
Southwest Investment Advisors, Inc.
CRD: 117052
 - 0 0 - Unknown
Southwest Investment Advisors, Inc.
CRD: 312685
 - 0 1 - Unknown
Southwest Medical Ventures
CRD: 291458
 - 0 0 - Unknown
Southwest Michigan Wealth Management, LLC
CRD: 289253
 - 0 1 - Unknown
Southwest Money Management Inc
CRD: 109668
 - 0 1 - Unknown
Southwest Resources, Inc.
CRD: 18589
 - 0 0 A INACTIVE
Southwest Retirement Advisors, LLC
CRD: 134189
 - 0 0 - Unknown
Southwest Royalties Securities, Inc.
CRD: 23426
 - 0 0 A INACTIVE
Southwest Texas Capital, L.L.C
CRD: 104200
 - 2 0 B INACTIVE
Southwest Value Partners
CRD: 161582
 - 0 0 - Unknown
Page 1327 of 1601 (80,028 total)
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