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 |
|---|---|---|---|---|---|
| Steelsky Ventures CRD: 323389 | - | 0 | 1 | - | Unknown |
| Steelyard Investment Management CRD: 169913 | - | 0 | 0 | - | Unknown |
| Steen Associates LLP CRD: 156168 | - | 0 | 0 | A | INACTIVE |
| Steenland Investment Strategies, LLC CRD: 133606 | - | 0 | 0 | - | Unknown |
| Steeplechase Investments CRD: 123295 | - | 0 | 2 | - | Unknown |
| Steeprock Capital CRD: 172775 | - | 0 | 1 | - | Unknown |
| Steerson Advisors CRD: 327734 | - | 0 | 0 | - | Unknown |
| Stefanos, John CRD: 103955 | - | 2 | 0 | B | INACTIVE |
| Stefanos, Paul CRD: 103974 | - | 3 | 0 | C | INACTIVE |
| Steffens Financial Corp CRD: 342546 | - | 0 | 1 | - | Unknown |
| Steffes Financial, Ltd CRD: 134530 | - | 0 | 1 | - | Unknown |
| Stegent Equity Advisors Inc. CRD: 114518 | - | 0 | 1 | - | Unknown |
| Steginsky Capital LLC CRD: 109617 | - | 0 | 1 | - | Unknown |
| Stegner Investment Associates Inc CRD: 107480 | - | 0 | 1 | - | Unknown |
| Steigerwald, Gordon & Koch - Wealth Advisors CRD: 111685 | - | 0 | 8 | - | Unknown |
| Stein Abbott and Company CRD: 13692 | - | 0 | 0 | A | INACTIVE |
| Stein Abbott and Company Inc. CRD: 23697 | - | 3 | 0 | C | INACTIVE |
| Stein Financial Advisory CRD: 333941 | - | 0 | 1 | - | Unknown |
| Stein Financial LLC CRD: 319712 | - | 0 | 1 | - | Unknown |
| Stein, Shore Securities, Inc. CRD: 31294 | - | 0 | 0 | A | INACTIVE |
| Steinback, Brad Stephen CRD: 34518 | - | 0 | 0 | A | INACTIVE |
| Steinberg & Lyman CRD: 15704 | - | 0 | 0 | A | INACTIVE |
| Steinberg Global Asset Management Ltd CRD: 107522 | - | 0 | 0 | - | Unknown |
| Steindecker & Co., Inc. CRD: 18422 | - | 0 | 0 | A | INACTIVE |
| Steiner Securities Corporation CRD: 13797 | - | 0 | 0 | A | INACTIVE |
| Steinman Enterprises Inc. CRD: 173386 | - | 0 | 0 | - | Unknown |
| Steinwold & Co. LLC CRD: 336171 | - | 0 | 0 | - | Unknown |
| Stelac Advisory Services LLC CRD: 145103 | - | 0 | 2 | - | Unknown |
| Stelac Capital Partners LLC CRD: 163081 | - | 0 | 1 | - | Unknown |
| Stella Advisors LLC CRD: 165464 | - | 0 | 2 | - | Unknown |
| Stella Maris Wealth CRD: 341801 | - | 0 | 1 | - | Unknown |
| Stella Partners LLC CRD: 297977 | IL | 0 | 2 | A | Active |
| Stella Point Capital, LP CRD: 290013 | - | 0 | 1 | - | Unknown |
| Stellam Advisors LLC CRD: 286336 | - | 0 | 0 | - | Unknown |
| Stellar Assets L.L.C. CRD: 311664 | - | 0 | 1 | - | Unknown |
| Stellar Financial Health CRD: 313298 | - | 0 | 0 | - | Unknown |
| Stellar Financial Planning CRD: 120284 | - | 0 | 1 | - | Unknown |
| Stellar Investments, Inc. CRD: 13814 | - | 7 | 0 | D | INACTIVE |
| Stellar Path Institute Ltd CRD: 340723 | - | 0 | 1 | - | Unknown |
| Stellar Ventures Management, LLC CRD: 322454 | - | 0 | 1 | - | Unknown |
| Stellaris Advisors LLP CRD: 322270 | - | 0 | 0 | - | Unknown |
| Stellaris Investment Management 3 Ifsc LLP CRD: 338844 | - | 0 | 0 | - | Unknown |
| Stellaris Securities, Inc. CRD: 30853 | - | 0 | 0 | A | INACTIVE |
| Stellaris Venture Advisors 2 LLP CRD: 321091 | - | 0 | 0 | - | Unknown |
| Stellex Capital CRD: 174278 | - | 0 | 1 | - | Unknown |
| Stellus Capital Management, LLC CRD: 160115 | - | 0 | 1 | - | Unknown |
| Stem Financial, LLC CRD: 269943 | - | 0 | 0 | - | Unknown |
| Stempoint Capital LP CRD: 324248 | - | 0 | 1 | - | Unknown |
| Sten Securities, L.L.C. CRD: 45945 | - | 0 | 0 | A | INACTIVE |
| Stenger Family Office, LLC CRD: 325089 | - | 0 | 5 | - | Unknown |