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 |
|---|---|---|---|---|---|
| Southwestern Advisory Group LLC CRD: 282950 | - | 0 | 2 | - | Unknown |
| Southwestern Capital Markets Advisory Services, LL… CRD: 168235 | - | 0 | 0 | - | Unknown |
| Southwestern Equities CRD: 10061 | - | 0 | 0 | A | INACTIVE |
| Southwestern Growth Partners CRD: 146175 | - | 0 | 0 | - | Unknown |
| Southwestern Management & Research Corporation CRD: 3461 | - | 0 | 0 | A | INACTIVE |
| Southwestern Money Management LLC CRD: 304033 | - | 0 | 2 | - | Unknown |
| Southwestern Security & Investment Corporation CRD: 6547 | - | 0 | 0 | A | INACTIVE |
| Southwick Investments, Inc. CRD: 36127 | - | 2 | 0 | B | INACTIVE |
| Souza Barros Securities, Inc CRD: 149032 | - | 2 | 0 | B | INACTIVE |
| Sovarnum Capital L.P. CRD: 161619 | - | 0 | 0 | - | Unknown |
| Sovereign CRD: 314859 | - | 0 | 1 | - | Unknown |
| Sovereign Advisers, Inc. CRD: 13104 | - | 0 | 0 | A | INACTIVE |
| Sovereign Asset Advisors LLC CRD: 311083 | - | 0 | 1 | - | Unknown |
| Sovereign Asset Management CRD: 108305 | - | 0 | 2 | - | Unknown |
| Sovereign Asset Management CRD: 285103 | - | 0 | 3 | - | Unknown |
| Sovereign BAY Advisors LLC CRD: 337245 | - | 0 | 1 | - | Unknown |
| Sovereign Capital LLC CRD: 313108 | - | 0 | 1 | - | Unknown |
| Sovereign Capital Vantage, Inc. CRD: 288492 | - | 0 | 1 | - | Unknown |
| Sovereign Financial Group CRD: 137145 | - | 0 | 1 | - | Unknown |
| Sovereign Financial Group, Inc. CRD: 294314 | - | 0 | 22 | - | Unknown |
| Sovereign Financial Services CRD: 127151 | - | 0 | 2 | - | Unknown |
| Sovereign Financial Services, LLC CRD: 153059 | - | 0 | 1 | - | Unknown |
| Sovereign Global Advisors LLC CRD: 167663 | CO | 0 | 6 | A | Active |
| Sovereign Legacy Securities, Inc. CRD: 1783 | NC | 1 | 2 | B | Active |
| Sovereign Private Equity Management, LLC CRD: 130097 | - | 0 | 0 | - | Unknown |
| Sovereign Securities Corp. CRD: 14015 | - | 0 | 0 | A | INACTIVE |
| Sovereign Securities Corporation, LLC CRD: 112638 | - | 2 | 0 | B | INACTIVE |
| Sovereign Solutions LLC CRD: 174313 | - | 0 | 0 | - | Unknown |
| Sovereign Wealth Advisors LLC CRD: 188524 | - | 0 | 3 | - | Unknown |
| Sovereign Wealth Advisors, Inc. CRD: 140639 | - | 0 | 0 | - | Unknown |
| Sovereign Wealth Office LLC CRD: 339635 | - | 0 | 1 | - | Unknown |
| Sovereign Wealth Solutions, Inc. CRD: 150492 | - | 0 | 0 | - | Unknown |
| Sovereign's Capital Management, LLC CRD: 301879 | - | 0 | 1 | - | Unknown |
| Sovereign-American Securities, Inc. CRD: 15330 | - | 0 | 0 | A | INACTIVE |
| Sovereign-American Securities, Inc. CRD: 21727 | - | 1 | 0 | B | INACTIVE |
| Sovran Advisors, LLC CRD: 329415 | - | 0 | 55 | - | Unknown |
| Sovran Securities, Inc. CRD: 13506 | - | 0 | 0 | A | INACTIVE |
| Sovran Securities, Inc. CRD: 31185 | - | 0 | 0 | A | INACTIVE |
| SOW Advisors LLC CRD: 336353 | - | 0 | 1 | - | Unknown |
| SOW and Reap Financial LLC CRD: 331033 | - | 0 | 1 | - | Unknown |
| Sowa Financial Group CRD: 107646 | - | 0 | 1 | - | Unknown |
| Sowell Management CRD: 127145 | - | 0 | 103 | - | Unknown |
| Sozo Ventures CRD: 288073 | - | 0 | 1 | - | Unknown |
| Sozo Ventures GP I, L.P. CRD: 170724 | - | 0 | 0 | - | Unknown |
| SP Asset Management LLC CRD: 113178 | - | 0 | 0 | - | Unknown |
| SP Asset Management LLC CRD: 323369 | - | 0 | 2 | - | Unknown |
| SP Capital Fund C, LLC CRD: 301958 | - | 0 | 0 | - | Unknown |
| SP Capital Fund D, LLC CRD: 302036 | - | 0 | 0 | - | Unknown |
| SP Capital Fund M, LLC CRD: 306174 | - | 0 | 0 | - | Unknown |
| SP Capital Partners, LLC CRD: 297220 | - | 0 | 1 | - | Unknown |