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 |
|---|---|---|---|---|---|
| SP Global Advisors LLC CRD: 291152 | - | 0 | 0 | - | Unknown |
| SP Global Advisors LLC CRD: 335320 | - | 0 | 1 | - | Unknown |
| SP Partners CRD: 161483 | - | 0 | 0 | - | Unknown |
| SP Retirement LLC CRD: 339666 | - | 0 | 1 | - | Unknown |
| SP Securities LLC CRD: 130560 | TX | 1 | 2 | B | Active |
| SP Ventures CRD: 334712 | - | 0 | 0 | - | Unknown |
| SP Wealth Planning CRD: 323658 | - | 0 | 1 | - | Unknown |
| SP8Cevc CRD: 311174 | - | 0 | 1 | - | Unknown |
| SPA RIA CRD: 339795 | - | 0 | 1 | - | Unknown |
| Space Cadet Expeditions LLC CRD: 312123 | - | 0 | 0 | - | Unknown |
| Space Capital CRD: 287867 | - | 0 | 1 | - | Unknown |
| Space JAM Investments, LLC CRD: 315109 | - | 0 | 0 | - | Unknown |
| Space Summit Capital LLC CRD: 312613 | - | 0 | 1 | - | Unknown |
| Space Technology Limited CRD: 328920 | - | 0 | 0 | - | Unknown |
| SPACE.VC Management Company, LLC CRD: 331270 | - | 0 | 1 | - | Unknown |
| Spacecadet Ventures, LLC CRD: 316985 | - | 0 | 1 | - | Unknown |
| Spacefaring Ventures LLC CRD: 342085 | - | 0 | 1 | - | Unknown |
| Spacefund, Inc. CRD: 315322 | - | 0 | 1 | - | Unknown |
| Spacetime Capital CRD: 282533 | - | 0 | 0 | - | Unknown |
| Spading Wealth Coaching CRD: 292249 | - | 0 | 0 | - | Unknown |
| Spahn Wealth & Retirement LLC CRD: 285932 | - | 0 | 2 | - | Unknown |
| Spahr Financial Group, LLC CRD: 123900 | - | 0 | 2 | - | Unknown |
| Spain Wealth Management, LLC CRD: 130802 | - | 0 | 0 | - | Unknown |
| Spalding & Company CRD: 11832 | - | 0 | 0 | A | INACTIVE |
| Spalding Associates, Inc. CRD: 24235 | - | 0 | 0 | A | INACTIVE |
| Spalding, Steven CRD: 317060 | - | 0 | 2 | - | Unknown |
| Spanish OAK Capital, LLC CRD: 342287 | - | 0 | 1 | - | Unknown |
| Spann Capital, LLC CRD: 332708 | - | 0 | 1 | - | Unknown |
| Spano Advisory Services Inc. CRD: 113588 | - | 0 | 1 | - | Unknown |
| Spar Investment Counsel Inc CRD: 106581 | - | 0 | 0 | - | Unknown |
| Spar Ventures Management, LLC CRD: 339649 | - | 0 | 1 | - | Unknown |
| Spar Wealth Management LLC CRD: 292723 | - | 0 | 2 | - | Unknown |
| Spari, Inc. CRD: 226780 | - | 0 | 0 | - | Unknown |
| Spark Advisors LLC CRD: 174532 | - | 0 | 0 | - | Unknown |
| Spark Asset Management Group CRD: 132154 | - | 0 | 4 | - | Unknown |
| Spark Capital CRD: 161231 | - | 0 | 1 | - | Unknown |
| Spark Change Securities LLC CRD: 309292 | WA | 0 | 2 | A | Active |
| Spark Exchange Ltd CRD: 338833 | - | 0 | 1 | - | Unknown |
| Spark Financial Advisors CRD: 296914 | - | 0 | 1 | - | Unknown |
| Spark Financials LLC CRD: 316349 | - | 0 | 1 | - | Unknown |
| Spark Growth Ventures CRD: 330397 | - | 0 | 1 | - | Unknown |
| Spark Wealth Advisors CRD: 322922 | - | 0 | 1 | - | Unknown |
| Sparklabs Global Ventures Management CRD: 330129 | - | 0 | 1 | - | Unknown |
| Sparklabs Global Ventures Management LLC CRD: 291004 | - | 0 | 0 | - | Unknown |
| Sparklabs Group Management CRD: 330082 | - | 0 | 1 | - | Unknown |
| Sparklabs Management CRD: 330130 | - | 0 | 1 | - | Unknown |
| Sparklabs Management LLC CRD: 290161 | - | 0 | 0 | - | Unknown |
| Sparkline Capital LP CRD: 314364 | - | 0 | 1 | - | Unknown |
| Sparks Capital Corporation CRD: 36683 | - | 0 | 0 | A | INACTIVE |
| Sparks Investments CRD: 310233 | - | 0 | 0 | - | Unknown |