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 |
|---|---|---|---|---|---|
| Spencer Hawkins Investment Adviser, LLC CRD: 298545 | - | 0 | 2 | - | Unknown |
| Spencer International Investments, Inc. CRD: 34194 | - | 0 | 0 | A | INACTIVE |
| Spencer Lyons Partners, LLC CRD: 175417 | - | 0 | 0 | - | Unknown |
| Spencer Olsen Securities Corporation CRD: 14029 | - | 0 | 0 | A | INACTIVE |
| Spencer Smith Asset Management, Inc. CRD: 139613 | - | 0 | 0 | - | Unknown |
| Spencer Smith Asset Management, Inc. CRD: 312678 | - | 0 | 1 | - | Unknown |
| Spencer Trask & Co. CRD: 165188 | - | 0 | 1 | - | Unknown |
| Spencer Ventures Management LLC CRD: 332047 | - | 0 | 1 | - | Unknown |
| Spencer, David Hill CRD: 34561 | - | 0 | 0 | A | INACTIVE |
| Spencer, Swain & Co., Inc. CRD: 3474 | - | 0 | 0 | A | INACTIVE |
| Spencer-Winston Securities Corporation CRD: 8300 | NY | 7 | 5 | B | Active |
| Spenditright LLC CRD: 338070 | - | 0 | 2 | - | Unknown |
| Spendvest CRD: 339469 | - | 0 | 1 | - | Unknown |
| Sperka Investment Management, LLC CRD: 313417 | - | 0 | 1 | - | Unknown |
| Spero-Smith Investment Advisers, Inc. CRD: 105428 | - | 0 | 0 | - | Unknown |
| Sperry Capital Inc. CRD: 136584 | - | 0 | 0 | - | Unknown |
| Sperry Young Financial Services, Inc. CRD: 13296 | - | 0 | 0 | A | INACTIVE |
| Speyside Equity Advisers LLC CRD: 325765 | - | 0 | 1 | - | Unknown |
| Speyside Fund Advisers LLC CRD: 282503 | - | 0 | 0 | - | Unknown |
| SPF Inc CRD: 106046 | - | 0 | 0 | - | Unknown |
| SPF Investment Management, L.P. CRD: 299036 | - | 0 | 1 | - | Unknown |
| SPF, Inc CRD: 166840 | - | 0 | 0 | - | Unknown |
| SPG Advisors LLC CRD: 284496 | - | 0 | 2 | - | Unknown |
| Sphera Funds Management Ltd. CRD: 312614 | - | 0 | 0 | - | Unknown |
| Sphera Global Healthcare CRD: 172608 | - | 0 | 0 | - | Unknown |
| Sphera Healthcare US Inc. CRD: 310325 | - | 0 | 0 | - | Unknown |
| Sphere Capital Group, LLC CRD: 300969 | - | 0 | 0 | - | Unknown |
| Sphere Strategies LLC CRD: 284641 | - | 0 | 0 | - | Unknown |
| Sphere, LLC CRD: 174488 | - | 0 | 0 | - | Unknown |
| Sphinx Investments LLC CRD: 327836 | - | 0 | 2 | - | Unknown |
| Sphinx Trading, LP CRD: 33019 | - | 3 | 0 | C | INACTIVE |
| SPHL Trading L.L.C. CRD: 126364 | - | 0 | 0 | A | INACTIVE |
| SPHYNX Financial Planning CRD: 293709 | - | 0 | 0 | - | Unknown |
| SPI Strategies, LLC CRD: 130295 | - | 0 | 0 | - | Unknown |
| Spice Expeditions, LP CRD: 333626 | - | 0 | 0 | - | Unknown |
| Spice Venture Capital, LLC CRD: 317852 | - | 0 | 1 | - | Unknown |
| Spicer Capital CRD: 312505 | - | 0 | 1 | - | Unknown |
| Spicer Capital, LLC CRD: 286166 | - | 0 | 0 | - | Unknown |
| Spicer Retirement Advisors, LLC CRD: 310427 | - | 0 | 0 | - | Unknown |
| Spicer Wealth Management CRD: 152792 | - | 0 | 1 | - | Unknown |
| Spicewood Mineral Management, LLC CRD: 310323 | - | 0 | 1 | - | Unknown |
| Spider Capital CRD: 282546 | - | 0 | 1 | - | Unknown |
| Spiderrock Advisors, LLC CRD: 171992 | - | 0 | 9 | - | Unknown |
| Spiderrock EXS, LLC CRD: 148743 | IL | 3 | 3 | B | Active |
| Spiegel Partners CRD: 171969 | - | 0 | 0 | - | Unknown |
| Spiehs Wealth Management, Inc. CRD: 328455 | - | 0 | 1 | - | Unknown |
| Spielberger & Brooks, Inc. CRD: 147197 | - | 0 | 1 | - | Unknown |
| Spiering & Co., Inc. CRD: 30060 | - | 0 | 0 | A | INACTIVE |
| Spike Financial Services, LLC CRD: 112193 | - | 2 | 0 | B | INACTIVE |
| Spike Invest CRD: 327634 | - | 0 | 0 | - | Unknown |