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 |
|---|---|---|---|---|---|
| Spectra Advisors, LLC CRD: 340181 | - | 0 | 1 | - | Unknown |
| Spectra Capital LLC CRD: 317805 | - | 0 | 0 | - | Unknown |
| Spectra Derivatives Group LLC CRD: 125332 | - | 1 | 0 | B | INACTIVE |
| Spectrum AC Advisors, LLC CRD: 298849 | - | 0 | 1 | - | Unknown |
| Spectrum Advisers, LLC CRD: 151277 | - | 0 | 1 | - | Unknown |
| Spectrum Advisors, Inc. CRD: 114805 | - | 0 | 1 | - | Unknown |
| Spectrum Advisory Group LLC CRD: 326932 | - | 0 | 1 | - | Unknown |
| Spectrum Advisory Services Inc. CRD: 107741 | - | 0 | 0 | - | Unknown |
| Spectrum Asset Management, Inc. CRD: 300463 | - | 0 | 1 | - | Unknown |
| Spectrum Capital Group CRD: 30415 | - | 0 | 0 | A | INACTIVE |
| Spectrum Capital, LLC CRD: 28303 | - | 1 | 0 | B | INACTIVE |
| Spectrum Consulting Group, Inc. CRD: 120772 | - | 0 | 0 | - | Unknown |
| Spectrum Equity CRD: 160619 | - | 0 | 1 | - | Unknown |
| Spectrum Financial Alliance, Ltd., L.L.C. CRD: 125147 | - | 0 | 2 | - | Unknown |
| Spectrum Financial Inc CRD: 105618 | - | 0 | 2 | - | Unknown |
| Spectrum Financial Resources CRD: 127453 | - | 0 | 4 | - | Unknown |
| Spectrum Financial Solutions, Inc. CRD: 289992 | - | 0 | 0 | - | Unknown |
| Spectrum Financial Strategies Inc CRD: 106419 | - | 0 | 2 | - | Unknown |
| Spectrum Group Management CRD: 157363 | - | 0 | 0 | - | Unknown |
| Spectrum Investment Advisors, Inc. CRD: 108669 | - | 0 | 4 | - | Unknown |
| Spectrum Investment Services CRD: 124705 | - | 0 | 0 | - | Unknown |
| Spectrum Investment Services, Inc. CRD: 36962 | - | 0 | 0 | A | INACTIVE |
| Spectrum Money Management, Inc. CRD: 126556 | - | 0 | 0 | - | Unknown |
| Spectrum Securities, Inc. CRD: 29305 | - | 0 | 0 | A | INACTIVE |
| Spectrum Strategic Capital Management, LLC CRD: 138347 | - | 0 | 2 | - | Unknown |
| Spectrum Strategies, L.L.C. CRD: 115318 | - | 0 | 3 | - | Unknown |
| Spectrum Trading Partners L.P. CRD: 25143 | - | 0 | 0 | A | INACTIVE |
| Spectrum Trading, LLC CRD: 132637 | - | 0 | 0 | A | INACTIVE |
| Spectrum Wealth Advisors, LLC CRD: 144452 | - | 0 | 2 | - | Unknown |
| Spectrum Wealth Management CRD: 154532 | - | 0 | 0 | - | Unknown |
| Spectrum Wealth Management CRD: 323651 | - | 0 | 0 | - | Unknown |
| Speece Thorson Capital Group Inc CRD: 106052 | - | 0 | 1 | - | Unknown |
| Speed Trading Partners, LLC CRD: 121148 | - | 2 | 0 | B | INACTIVE |
| Speedinvest GMBH CRD: 316774 | - | 0 | 0 | - | Unknown |
| Speedroute LLC CRD: 104138 | - | 12 | 0 | D | INACTIVE |
| Speedtrader, Inc CRD: 107403 | NY | 22 | 2 | D | Active |
| Speedup CRD: 314119 | - | 0 | 0 | - | Unknown |
| Speiro Investments, LLC CRD: 171407 | - | 0 | 1 | - | Unknown |
| Spekkio, LLC CRD: 343471 | - | 0 | 1 | - | Unknown |
| Spell Capital Partners, LLC CRD: 162258 | - | 0 | 0 | - | Unknown |
| Spellman Capital Corporation CRD: 11091 | - | 0 | 0 | A | INACTIVE |
| Spelman & Co., Inc. CRD: 10232 | - | 11 | 0 | D | INACTIVE |
| Spelts Wealth Management, Inc CRD: 158321 | - | 0 | 0 | - | Unknown |
| Spelts Wealth Management, Inc. CRD: 338961 | - | 0 | 1 | - | Unknown |
| Spence Asset Management Holdings GP I, LLC CRD: 323608 | - | 0 | 0 | - | Unknown |
| Spencer Brook Asset Management, LLC CRD: 129034 | - | 0 | 2 | - | Unknown |
| Spencer Clarke LLC CRD: 41316 | FL | 4 | 2 | B | Active |
| Spencer Edwards, Inc. CRD: 22067 | - | 20 | 0 | F | INACTIVE |
| Spencer Financial Advisors CRD: 115844 | - | 0 | 1 | - | Unknown |
| Spencer Financial Strategies CRD: 334095 | - | 0 | 3 | - | Unknown |