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 |
|---|---|---|---|---|---|
| Sprylen Wealth Management, LLC CRD: 297592 | - | 0 | 2 | - | Unknown |
| SPS Financial Services, LLC CRD: 163550 | - | 0 | 0 | - | Unknown |
| Spur Capital Partners CRD: 115959 | - | 0 | 0 | - | Unknown |
| Spur Securities Group, Inc. CRD: 135039 | - | 0 | 0 | A | INACTIVE |
| Spurgeon Financial Group CRD: 138174 | - | 0 | 2 | - | Unknown |
| Spurr Financial Investment Services, LLC CRD: 285683 | - | 0 | 1 | - | Unknown |
| Spurstone CRD: 284158 | - | 0 | 1 | - | Unknown |
| SPX Capital Management Singapore PTE. Ltd. CRD: 327515 | - | 0 | 0 | - | Unknown |
| SPX GestÃO DE Recursos Ltda. CRD: 322805 | - | 0 | 0 | - | Unknown |
| SPX MGMT LLC CRD: 331289 | - | 0 | 1 | - | Unknown |
| SPX Portugal, Sgoic, S.A. CRD: 331303 | - | 0 | 0 | - | Unknown |
| SPX Private Equity GestÃO DE Recursos Ltda. CRD: 322806 | - | 0 | 0 | - | Unknown |
| SPY Trading Group, LLC CRD: 114784 | - | 0 | 0 | A | INACTIVE |
| Spyder Securities Incorporated CRD: 32823 | - | 2 | 0 | B | INACTIVE |
| Spyglass Securities, LLC CRD: 149881 | - | 2 | 0 | B | INACTIVE |
| Spyglass Trading, L.P. CRD: 42225 | - | 0 | 0 | A | INACTIVE |
| Spyrnal Financial Group CRD: 299957 | - | 0 | 3 | - | Unknown |
| SQ Advisors, LLC CRD: 155489 | - | 0 | 0 | - | Unknown |
| SQ Capital LLC CRD: 334301 | - | 0 | 1 | - | Unknown |
| SQA, LLC CRD: 320847 | - | 0 | 1 | - | Unknown |
| SQM Frontier Management, LP CRD: 156763 | - | 0 | 0 | - | Unknown |
| SQN Capital Management, LLC CRD: 158704 | - | 0 | 1 | - | Unknown |
| SQN Institutional CRD: 171542 | - | 0 | 0 | - | Unknown |
| SQN Investors LP CRD: 171505 | - | 0 | 0 | - | Unknown |
| SQN Venture Partners, LLC CRD: 301483 | - | 0 | 1 | - | Unknown |
| SQT Trading, LLC CRD: 164446 | - | 0 | 0 | A | INACTIVE |
| Squadra Investments - Gestao DE Recursos Ltda. CRD: 160366 | - | 0 | 0 | - | Unknown |
| Squadra Ventures CRD: 305909 | - | 0 | 1 | - | Unknown |
| Squam Lakes Financial Advisors, LLC CRD: 121325 | - | 0 | 2 | - | Unknown |
| Squam Lakes Investment Management, LLC CRD: 301184 | - | 0 | 1 | - | Unknown |
| Squar Milner Financial Services, LLC CRD: 112483 | - | 0 | 0 | - | Unknown |
| Square Advisors, LLC CRD: 160578 | - | 0 | 0 | - | Unknown |
| Square Circle IA LP CRD: 312718 | - | 0 | 1 | - | Unknown |
| Square Global Markets CRD: 158419 | NY | 0 | 2 | A | Active |
| Square Nine Capital, LP CRD: 336297 | - | 0 | 1 | - | Unknown |
| Square PEG Financial Advisory Services, LLC CRD: 327940 | - | 0 | 1 | - | Unknown |
| Square Start LLC CRD: 340743 | - | 0 | 1 | - | Unknown |
| Square Wave Capital CRD: 318517 | - | 0 | 1 | - | Unknown |
| Squarepoint OPS LLC CRD: 172116 | - | 0 | 1 | - | Unknown |
| Squaw Capital, LLC CRD: 287560 | - | 0 | 0 | - | Unknown |
| Squire Hill Capital CRD: 289881 | - | 0 | 0 | - | Unknown |
| Squire Wealth Advisors CRD: 117750 | - | 0 | 6 | - | Unknown |
| Squires LAW & Squires Investments, LLC CRD: 333991 | - | 0 | 1 | - | Unknown |
| SR Financial Services, Inc. CRD: 121298 | - | 0 | 2 | - | Unknown |
| SR ONE Capital Management, LP CRD: 306361 | - | 0 | 1 | - | Unknown |
| SR99Advisors CRD: 338890 | - | 0 | 1 | - | Unknown |
| SRA Capital Management LLC CRD: 146850 | - | 0 | 0 | - | Unknown |
| SRA Securities, LLC CRD: 149125 | - | 0 | 0 | A | INACTIVE |
| SRB Corporation CRD: 161163 | - | 0 | 1 | - | Unknown |
| SRB Ventures, LLC CRD: 318742 | - | 0 | 1 | - | Unknown |