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 |
|---|---|---|---|---|---|
| SRC Capital Management CRD: 130310 | - | 0 | 1 | - | Unknown |
| SRC LLC CRD: 311951 | - | 0 | 0 | - | Unknown |
| SRC Partners, LP CRD: 140124 | - | 0 | 0 | - | Unknown |
| SRC Wealth Advisors LLC CRD: 269870 | - | 0 | 2 | - | Unknown |
| SRD Capital Management CRD: 151319 | - | 0 | 0 | - | Unknown |
| SRD Innovation Fund LLC CRD: 341877 | - | 0 | 1 | - | Unknown |
| SRE Investor Services, Inc. CRD: 15700 | - | 0 | 0 | A | INACTIVE |
| Sreca Trading, LLC CRD: 47959 | - | 0 | 0 | A | INACTIVE |
| Srep Capital Management, LLC CRD: 296281 | - | 0 | 1 | - | Unknown |
| SRI Advisors LLC CRD: 283822 | - | 0 | 0 | - | Unknown |
| SRI Capital Partners, LLC CRD: 298679 | - | 0 | 0 | - | Unknown |
| SRI Investing CRD: 226719 | - | 0 | 0 | - | Unknown |
| SRI, LLC CRD: 160160 | - | 0 | 0 | - | Unknown |
| SRM Financial Services, LLC CRD: 138642 | - | 0 | 0 | - | Unknown |
| SRM Securities, Incorporated CRD: 13716 | - | 3 | 0 | C | INACTIVE |
| SRN Advisors, LLC CRD: 307155 | - | 0 | 1 | - | Unknown |
| SRP Advisory Services LLC CRD: 285073 | - | 0 | 0 | - | Unknown |
| SRQ Wealth Advisory, LLC CRD: 285458 | - | 0 | 0 | - | Unknown |
| SRS Securities LLC CRD: 104254 | - | 0 | 0 | A | INACTIVE |
| SRS Wealth Management CRD: 343188 | - | 0 | 2 | - | Unknown |
| SRS Wealth Management, LLC CRD: 171771 | - | 0 | 0 | - | Unknown |
| SRS Wealth Mangement CRD: 287572 | - | 0 | 1 | - | Unknown |
| SRT Group LLC CRD: 330219 | - | 0 | 1 | - | Unknown |
| SRT Securities LLC CRD: 33725 | MI | 26 | 6 | C | Active |
| SS Towner Securities, Inc. CRD: 16752 | - | 0 | 0 | A | INACTIVE |
| SS&C Market Services, LLC CRD: 23568 | MA | 1 | 6 | B | Active |
| SS&H Financial Advisors, Inc. CRD: 112256 | - | 0 | 1 | - | Unknown |
| SSA Wealth Advisors CRD: 161357 | - | 0 | 0 | - | Unknown |
| SSB Managed Wealth, LLC CRD: 305976 | - | 0 | 1 | - | Unknown |
| SSB&T Wealth Management, LLC CRD: 328102 | - | 0 | 3 | - | Unknown |
| SSC CRD: 339313 | - | 0 | 1 | - | Unknown |
| SSC Distribution Services, Inc. CRD: 26003 | - | 0 | 0 | A | INACTIVE |
| SSC NY Corp. CRD: 29804 | - | 5 | 0 | C | INACTIVE |
| SSC Venture Managers LLC CRD: 289525 | - | 0 | 0 | - | Unknown |
| SSC Venture Managers LLC CRD: 313547 | - | 0 | 1 | - | Unknown |
| Ssci Portugal, LDA CRD: 329891 | - | 0 | 0 | - | Unknown |
| SSG Capital Advisors, L.P. CRD: 113867 | - | 0 | 0 | A | INACTIVE |
| SSG Capital Advisors, LLC CRD: 150750 | PA | 0 | 2 | A | Active |
| SSG, Ltd. CRD: 14860 | - | 0 | 0 | A | INACTIVE |
| Ssga Funds Management, Inc. CRD: 111242 | - | 0 | 1 | - | Unknown |
| SSH Securities, Inc. CRD: 43593 | - | 0 | 0 | A | INACTIVE |
| SSI Equity Services, Inc. CRD: 45984 | - | 0 | 0 | A | INACTIVE |
| SSI Securities Corp. CRD: 8275 | - | 11 | 0 | D | INACTIVE |
| SSM Partners CRD: 161533 | - | 0 | 1 | - | Unknown |
| SSMT Securities Corporation CRD: 36961 | - | 0 | 0 | A | INACTIVE |
| SSN Advisory, Inc. CRD: 126090 | - | 0 | 0 | - | Unknown |
| SSR LLC CRD: 151448 | - | 0 | 0 | A | INACTIVE |
| SSRC Macroeconomics of DSI CRD: 13530 | - | 0 | 0 | A | INACTIVE |
| SSRM Services, Inc. CRD: 28544 | - | 0 | 0 | A | INACTIVE |
| SSSH Equities, Inc. CRD: 23228 | - | 0 | 0 | A | INACTIVE |