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 |
|---|---|---|---|---|---|
| Sports Management LLC CRD: 163240 | - | 0 | 0 | - | Unknown |
| Sportscap LLC CRD: 332436 | - | 0 | 1 | - | Unknown |
| Sportvest,Inc. CRD: 14414 | - | 0 | 0 | A | INACTIVE |
| Sporty Securities, Inc. CRD: 125368 | - | 0 | 0 | A | INACTIVE |
| Spot Trading L.L.C. CRD: 47666 | - | 6 | 0 | D | INACTIVE |
| Spot VC Management Company, LLC CRD: 338051 | - | 0 | 1 | - | Unknown |
| Spotlight Asset Group CRD: 288076 | - | 0 | 0 | - | Unknown |
| Spouting Rock Asset Management, LLC CRD: 150516 | - | 0 | 0 | - | Unknown |
| Spouting Rock Capital Advisors, LLC CRD: 143180 | - | 0 | 0 | A | INACTIVE |
| Spouting Rock Retirement Solutions, LLC CRD: 172353 | - | 0 | 0 | - | Unknown |
| SPP Capital Partners L L C CRD: 38103 | NY | 0 | 3 | A | Active |
| SPP Credit Advisors LLC CRD: 314442 | - | 0 | 1 | - | Unknown |
| SPP Hambro & Co., Incorporated CRD: 14821 | - | 0 | 0 | A | INACTIVE |
| SPP Management Services, LLC CRD: 164078 | - | 0 | 1 | - | Unknown |
| SPP Partners II, LP CRD: 163185 | - | 0 | 0 | - | Unknown |
| SPQ Asia Capital Limited CRD: 170455 | - | 0 | 0 | - | Unknown |
| SPQR L.L.C. CRD: 111707 | - | 0 | 0 | A | INACTIVE |
| Spraker West Wealth Management, Inc CRD: 147075 | - | 0 | 1 | - | Unknown |
| Spray Management Corporation CRD: 162837 | - | 0 | 0 | - | Unknown |
| Spreadwise LLC CRD: 336799 | - | 0 | 0 | - | Unknown |
| Spreckels Wealth Management CRD: 313422 | - | 0 | 2 | - | Unknown |
| Spree Capital Advisers CRD: 299067 | - | 0 | 2 | - | Unknown |
| Sprig Equity Management, LLC CRD: 331022 | - | 0 | 1 | - | Unknown |
| Sprincz Advisory Group, LLC CRD: 285738 | - | 0 | 1 | - | Unknown |
| Spring CRD: 277164 | - | 0 | 0 | - | Unknown |
| Spring & BOE Investment Corp. CRD: 8415 | - | 0 | 0 | A | INACTIVE |
| Spring & BOE Securities Corp. CRD: 21305 | - | 0 | 0 | A | INACTIVE |
| Spring Arbor Group, LLC CRD: 312034 | - | 0 | 1 | - | Unknown |
| Spring B Management LLC CRD: 322810 | - | 0 | 1 | - | Unknown |
| Spring Bridge Management, L.P. CRD: 298364 | - | 0 | 0 | - | Unknown |
| Spring City Partners, LLC CRD: 297361 | - | 0 | 2 | - | Unknown |
| Spring Delta Asset Management, LLC CRD: 307539 | - | 0 | 1 | - | Unknown |
| Spring Financial Planning CRD: 288000 | - | 0 | 1 | - | Unknown |
| Spring Free EV Markets CRD: 324029 | - | 0 | 0 | - | Unknown |
| Spring Growth Partners LLC CRD: 314825 | - | 0 | 0 | - | Unknown |
| Spring Hill Advisors LLC CRD: 298400 | - | 0 | 0 | - | Unknown |
| Spring Hill Capital Markets, L.L.C. CRD: 150898 | - | 1 | 0 | B | INACTIVE |
| Spring Investor Services, Inc. CRD: 111474 | - | 0 | 0 | A | INACTIVE |
| Spring Lake Equity GP LLC CRD: 167613 | - | 0 | 1 | - | Unknown |
| Spring Lake Equity Management LLC CRD: 167251 | - | 0 | 1 | - | Unknown |
| Spring Lane Capital CRD: 290181 | - | 0 | 1 | - | Unknown |
| Spring Mill Capital CRD: 288773 | - | 0 | 0 | - | Unknown |
| Spring Mountain Capital, LP CRD: 119126 | - | 0 | 1 | - | Unknown |
| Spring Ocean Capital LLC CRD: 282737 | - | 0 | 2 | - | Unknown |
| Spring Street Partners L.P. CRD: 39299 | - | 0 | 0 | A | INACTIVE |
| Spring Street Securities, Inc. CRD: 19825 | - | 0 | 0 | A | INACTIVE |
| Spring Street Wealth CRD: 338643 | - | 0 | 1 | - | Unknown |
| Spring Tide Advisors, LLC CRD: 304016 | - | 0 | 1 | - | Unknown |
| Spring Tide Capital Management CRD: 292630 | - | 0 | 0 | - | Unknown |
| Spring Tide Management, LLC CRD: 286128 | - | 0 | 0 | - | Unknown |