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 |
|---|---|---|---|---|---|
| Sparrow Advisors, LLC CRD: 327087 | - | 0 | 2 | - | Unknown |
| Sparrow Fund Management CRD: 283818 | - | 0 | 0 | - | Unknown |
| Sparrow Wealth Management CRD: 152670 | - | 0 | 1 | - | Unknown |
| Sparrow Wealth Management CRD: 335599 | - | 0 | 1 | - | Unknown |
| Sparrows Financial CRD: 336444 | - | 0 | 1 | - | Unknown |
| Sparta Group of Chicago, L.P. CRD: 41333 | - | 4 | 0 | C | INACTIVE |
| Sparta Wealth Partners CRD: 318036 | - | 0 | 5 | - | Unknown |
| Spartan Capital Securities, LLC CRD: 146251 | NY | 16 | 5 | C | Active |
| Spartan Partners L.P. CRD: 43352 | - | 0 | 0 | A | INACTIVE |
| Spartan Planning Group CRD: 166599 | - | 0 | 1 | - | Unknown |
| Spartan Securities Group, Ltd. CRD: 104478 | - | 12 | 0 | D | INACTIVE |
| Spartan Syndications, Inc. CRD: 13845 | - | 0 | 0 | A | INACTIVE |
| Spartan Trading Capital Management, LLC CRD: 312730 | - | 0 | 0 | - | Unknown |
| Spartan Trading, LLC CRD: 106064 | - | 0 | 0 | A | INACTIVE |
| Spartan Wealth Management CRD: 331719 | - | 0 | 5 | - | Unknown |
| Spartan Wealth Solutions LLC CRD: 297328 | - | 0 | 1 | - | Unknown |
| Sparx Asia Investment Advisors Limited CRD: 139172 | - | 0 | 0 | - | Unknown |
| Sparx Asset Management Korea Co., Ltd CRD: 139179 | - | 0 | 0 | - | Unknown |
| Sparx Asset Management Korea Co., Ltd. CRD: 338393 | - | 0 | 0 | - | Unknown |
| Sparx Capital Investments, Inc. CRD: 301572 | - | 0 | 0 | - | Unknown |
| Sparx Securities, USA, LLC CRD: 132501 | - | 0 | 0 | A | INACTIVE |
| Spatial Capital LLC CRD: 326701 | - | 0 | 1 | - | Unknown |
| Spatial Venture Partners CRD: 281730 | - | 0 | 0 | - | Unknown |
| Spaulding Securities, Inc. CRD: 15897 | - | 0 | 0 | A | INACTIVE |
| SPC CRD: 110692 | - | 0 | 475 | - | Unknown |
| SPC Advisors, LLC CRD: 292389 | - | 0 | 0 | - | Unknown |
| SPC Capital Markets LLC CRD: 304381 | CT | 0 | 4 | A | Active |
| SPC Financial Inc CRD: 104618 | - | 0 | 0 | - | Unknown |
| SPD Group LLP CRD: 170376 | - | 0 | 0 | - | Unknown |
| Spear Advisors LLC CRD: 314594 | - | 0 | 1 | - | Unknown |
| Spear Insurance Services, Inc. CRD: 5941 | - | 0 | 0 | A | INACTIVE |
| Spear Wealth Advisors CRD: 305950 | - | 0 | 0 | - | Unknown |
| Spear, Leeds & Kellogg Securities Incorporated CRD: 13988 | - | 0 | 0 | A | INACTIVE |
| Spear, Leeds, & Kellogg Corporation CRD: 14687 | - | 0 | 0 | A | INACTIVE |
| Spearhead Administrative Services, LLC CRD: 319289 | - | 0 | 6 | - | Unknown |
| Spearhead Advisors, LLC CRD: 316684 | - | 0 | 3 | - | Unknown |
| Spearhead Capital, LLC CRD: 145560 | - | 0 | 0 | A | INACTIVE |
| Speartip Capital, LLC CRD: 317599 | - | 0 | 0 | - | Unknown |
| Special Risk Capital Management, LLC CRD: 124553 | - | 0 | 0 | - | Unknown |
| Specialised Research (UK) CRD: 331937 | - | 0 | 0 | - | Unknown |
| Specialists DPM, LLC CRD: 103755 | - | 3 | 0 | C | INACTIVE |
| Specialists, Inc. CRD: 34457 | - | 4 | 0 | C | INACTIVE |
| Specialized Advisors CRD: 299308 | - | 0 | 0 | - | Unknown |
| Specialized Investments Division CRD: 45351 | - | 0 | 0 | A | INACTIVE |
| Specialized Retirement Consultants LLC CRD: 317027 | - | 0 | 1 | - | Unknown |
| Specialty Capital, LLC CRD: 144215 | - | 0 | 0 | A | INACTIVE |
| Specialty Care, LLC CRD: 217519 | - | 0 | 0 | - | Unknown |
| Specialty Finance Group, LLC CRD: 119434 | - | 0 | 0 | A | INACTIVE |
| Specialty Securities, Inc. CRD: 16422 | - | 0 | 0 | A | INACTIVE |
| Speck & Company, LLC CRD: 321740 | - | 0 | 0 | - | Unknown |