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 |
|---|---|---|---|---|---|
| Springate & Company CRD: 6044 | - | 0 | 0 | A | INACTIVE |
| Springate Investment Securities Co. CRD: 21951 | - | 0 | 0 | A | INACTIVE |
| Springbank Value Partners, L.P. CRD: 157682 | - | 0 | 0 | - | Unknown |
| Springboard Financial Services CRD: 323793 | - | 0 | 1 | - | Unknown |
| Springboard Growth Capital LLC CRD: 306104 | - | 0 | 1 | - | Unknown |
| Springboard Securities, Inc. CRD: 104458 | - | 3 | 0 | C | INACTIVE |
| Springbok Advisors CRD: 170948 | - | 0 | 0 | - | Unknown |
| Springbox AI, Ltd CRD: 312450 | - | 0 | 0 | - | Unknown |
| Springbrook Financial, LLC CRD: 311939 | - | 0 | 0 | - | Unknown |
| Springbrook Financial, LLC CRD: 322443 | - | 0 | 1 | - | Unknown |
| Springcoast Capital Partners, L.P. CRD: 327164 | - | 0 | 1 | - | Unknown |
| Springdale Advisors CRD: 287818 | - | 0 | 1 | - | Unknown |
| Springdale Capital CRD: 150338 | - | 0 | 1 | - | Unknown |
| Springer Investment & Securities Co., Inc. CRD: 3479 | - | 0 | 0 | A | INACTIVE |
| Springhill Fund Asset Management (HK) Company Limi… CRD: 314487 | - | 0 | 0 | - | Unknown |
| Springhood Child Health Ventures I GP, LLC CRD: 331047 | - | 0 | 1 | - | Unknown |
| Springhouse Capital Group CRD: 283912 | - | 0 | 0 | - | Unknown |
| Springhouse Financial, LLC CRD: 167145 | - | 0 | 1 | - | Unknown |
| Springlake Financial Partners CRD: 334134 | - | 0 | 2 | - | Unknown |
| Springline Capital Ltd. CRD: 283121 | - | 0 | 0 | - | Unknown |
| Springreef LLC CRD: 155455 | - | 0 | 1 | - | Unknown |
| Springrock Management CRD: 310447 | - | 0 | 1 | - | Unknown |
| Springs Capital (Hong Kong) Limited CRD: 168321 | - | 0 | 0 | - | Unknown |
| Springside Partners LLC CRD: 172934 | - | 0 | 0 | - | Unknown |
| Springsted Investment Advisors Incorporated CRD: 113920 | - | 0 | 0 | - | Unknown |
| Springtide CRD: 300815 | - | 0 | 1 | - | Unknown |
| Springtide Partners CRD: 287968 | - | 0 | 3 | - | Unknown |
| Springtime Ventures LLC CRD: 296910 | - | 0 | 0 | - | Unknown |
| Springtru, LLC CRD: 164776 | - | 0 | 1 | - | Unknown |
| Springvest Wealth Management, Inc. CRD: 269976 | - | 0 | 0 | - | Unknown |
| Springwood Equities LLC CRD: 144898 | - | 0 | 0 | A | INACTIVE |
| Springwood Equities, Inc. CRD: 15400 | - | 0 | 0 | A | INACTIVE |
| Springwood Financial Advisors CRD: 131190 | - | 0 | 2 | - | Unknown |
| Sprinklebrokerage, Inc. CRD: 285216 | CA | 1 | 2 | B | Active |
| Sprints Capital CRD: 292065 | - | 0 | 0 | - | Unknown |
| Sprints Partners LLP CRD: 334870 | - | 0 | 0 | - | Unknown |
| Sprooster LLC CRD: 334686 | - | 0 | 0 | - | Unknown |
| Sprott Asset Management USA Inc. CRD: 139022 | - | 0 | 8 | - | Unknown |
| Sprott Global Resource Investments Ltd CRD: 35878 | CA | 2 | 5 | B | Active |
| Sprott Resource Lending Partnership CRD: 284548 | - | 0 | 0 | - | Unknown |
| Sprout Advisers CRD: 293200 | - | 0 | 0 | - | Unknown |
| Sprout Creek LLC CRD: 305385 | - | 0 | 1 | - | Unknown |
| Spruce Brook CRD: 281258 | - | 0 | 0 | - | Unknown |
| Spruce Capital Partners CRD: 170820 | - | 0 | 1 | - | Unknown |
| Spruce Hill Capital CRD: 334549 | - | 0 | 3 | - | Unknown |
| Spruce House Investment Management LLC CRD: 163427 | - | 0 | 1 | - | Unknown |
| Spruce Management LLC CRD: 329991 | - | 0 | 1 | - | Unknown |
| Spruce Peak Capital, LP CRD: 315377 | - | 0 | 0 | - | Unknown |
| Spruce Street Capital LP CRD: 333213 | - | 0 | 1 | - | Unknown |
| SPRY Capital, LLC CRD: 170474 | - | 0 | 0 | - | Unknown |