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 |
|---|---|---|---|---|---|
| Spillane and Co. CRD: 28461 | - | 0 | 0 | A | INACTIVE |
| Spin Trading LLC CRD: 104191 | - | 0 | 0 | A | INACTIVE |
| Spindletop Capital Management, LLC CRD: 162387 | - | 0 | 1 | - | Unknown |
| Spindletop Capital, LLC CRD: 164375 | - | 0 | 0 | - | Unknown |
| Spinnaker Asset Management - SAM Limited CRD: 160208 | - | 0 | 0 | - | Unknown |
| Spinnaker Financial Group, LLC CRD: 165279 | - | 0 | 1 | - | Unknown |
| Spinnaker Investment Group, LLC CRD: 283414 | - | 0 | 1 | - | Unknown |
| Spinosa Wealth Management Group CRD: 170903 | - | 0 | 1 | - | Unknown |
| Spire Asset Management, LLC. CRD: 119494 | - | 0 | 0 | - | Unknown |
| Spire Atlas Studio, LLC CRD: 339462 | - | 0 | 0 | - | Unknown |
| Spire Capital Partners LLC CRD: 328452 | - | 0 | 0 | - | Unknown |
| Spire Fund Advisory LLC CRD: 304905 | - | 0 | 1 | - | Unknown |
| Spire Securities, LLC CRD: 144131 | VA | 3 | 16 | B | Active |
| Spire Wealth Management, LLC CRD: 113908 | - | 0 | 71 | - | Unknown |
| Spirepoint Private Client, LLC CRD: 327350 | - | 0 | 4 | - | Unknown |
| Spires Financial, L.P. CRD: 38209 | - | 2 | 0 | B | INACTIVE |
| Spirit Capital CRD: 130688 | - | 0 | 0 | - | Unknown |
| Spirit EYE Investment Ltd CRD: 340663 | - | 0 | 1 | - | Unknown |
| Spirit Investment Advisors CRD: 319383 | - | 0 | 2 | - | Unknown |
| Spirit of America Management Corp CRD: 110023 | - | 0 | 9 | - | Unknown |
| Spirit Partners, L.P. CRD: 36697 | - | 0 | 0 | A | INACTIVE |
| Spirit West Advisors, LLC CRD: 285314 | - | 0 | 1 | - | Unknown |
| Spiritus Financial Planning CRD: 141372 | - | 0 | 1 | - | Unknown |
| Spitfire Capital LLC CRD: 143766 | - | 0 | 3 | - | Unknown |
| Spivey Trading, LLC CRD: 136457 | - | 0 | 0 | A | INACTIVE |
| Spizz Trading, LLC CRD: 111181 | - | 0 | 0 | A | INACTIVE |
| SPK Manager LLC CRD: 226727 | - | 0 | 0 | - | Unknown |
| SPL Advisors CRD: 281802 | - | 0 | 0 | - | Unknown |
| Splendor Capital, LLC CRD: 307106 | - | 0 | 0 | - | Unknown |
| Split Creek LLC DBA Split Creek Capital LLC CRD: 319437 | - | 0 | 1 | - | Unknown |
| Split Rock Capital Management, LLC CRD: 281295 | - | 0 | 0 | - | Unknown |
| Split Rock Partners, LLC CRD: 161766 | - | 0 | 1 | - | Unknown |
| Split Rock Private Trading and Wealth Management L… CRD: 152003 | - | 0 | 1 | - | Unknown |
| Split Spectrum Management, LLC CRD: 288472 | - | 0 | 1 | - | Unknown |
| Splizer Invest CRD: 331718 | - | 0 | 1 | - | Unknown |
| SPM Advisors, LLC CRD: 143775 | - | 0 | 1 | - | Unknown |
| SPO Partners & Co. CRD: 157279 | - | 0 | 0 | - | Unknown |
| Spohn Financial Services, LLC CRD: 146532 | - | 0 | 0 | - | Unknown |
| Spokane Securities Corporation CRD: 11232 | - | 0 | 0 | A | INACTIVE |
| Spoke Financial, LLC CRD: 283342 | - | 0 | 0 | A | INACTIVE |
| Spoke Real Estate Financial, LLC CRD: 304994 | - | 0 | 0 | A | INACTIVE |
| Spondeo Capital, LLC CRD: 318353 | - | 0 | 1 | - | Unknown |
| Sponsors Securities Corp. CRD: 22717 | - | 0 | 0 | A | INACTIVE |
| Spoor Behrins Campbell & Young Securities Corp CRD: 107400 | - | 0 | 0 | - | Unknown |
| Spoor, T. Richard CRD: 146486 | - | 0 | 0 | - | Unknown |
| Sporl & Company CRD: 130785 | - | 0 | 1 | - | Unknown |
| Spormerica LLC CRD: 144697 | - | 0 | 0 | A | INACTIVE |
| Sporos Capital Partners CRD: 340965 | - | 0 | 1 | - | Unknown |
| Sports & Entertainment Investment Advisers, LLC CRD: 285611 | - | 0 | 0 | - | Unknown |
| Sports Equity Group, Inc. CRD: 28187 | - | 0 | 0 | A | INACTIVE |