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 |
|---|---|---|---|---|---|
| Sterling Securities, Inc. CRD: 11877 | - | 0 | 0 | A | INACTIVE |
| Sterling Smith Corporation CRD: 38041 | TX | 0 | 2 | A | Active |
| Sterling Software Services, Inc. CRD: 159128 | - | 0 | 0 | A | INACTIVE |
| Sterling Trading L.P. CRD: 42110 | - | 0 | 0 | A | INACTIVE |
| Sterling Valuation Group, Inc. CRD: 140540 | - | 0 | 1 | - | Unknown |
| Sterling Wealth Advisors LLC CRD: 269892 | - | 0 | 0 | - | Unknown |
| Sterling Wealth Advisors, Inc. CRD: 124121 | - | 0 | 3 | - | Unknown |
| Sterling Wealth and Retirement Services, LLC CRD: 291480 | - | 0 | 0 | - | Unknown |
| Sterling Wealth Management CRD: 283916 | - | 0 | 2 | - | Unknown |
| Sterling World Capital, LLC CRD: 158649 | - | 0 | 0 | - | Unknown |
| Sterling, Grace Municipal Securities Corporation CRD: 7155 | NJ | 0 | 2 | A | Active |
| Stern & Kennedy CRD: 33061 | - | 1 | 0 | B | INACTIVE |
| Stern & Stern Securities, Inc. CRD: 3503 | - | 0 | 0 | A | INACTIVE |
| Stern Asset Management, Inc CRD: 134244 | - | 0 | 0 | - | Unknown |
| Stern Bros. CRD: 3504 | - | 0 | 0 | A | INACTIVE |
| Stern Brothers & Co. CRD: 16325 | MO | 1 | 10 | B | Active |
| Stern Capital LLC CRD: 131226 | NY | 0 | 2 | A | Active |
| Stern Financial Securities, Inc. CRD: 13378 | - | 0 | 0 | A | INACTIVE |
| Stern Fisher Edwards Inc CRD: 7548 | - | 4 | 0 | C | INACTIVE |
| Stern Investment Advisors, LLC CRD: 131551 | - | 0 | 0 | - | Unknown |
| Stern Investment Advisory CRD: 129563 | - | 0 | 0 | - | Unknown |
| Stern Line Capital CRD: 297865 | - | 0 | 1 | - | Unknown |
| Stern, Daniel Brian CRD: 32160 | - | 0 | 0 | A | INACTIVE |
| Stern, Larry CRD: 33656 | - | 0 | 0 | A | INACTIVE |
| Sterne, Agee & Leach, Inc. CRD: 791 | - | 54 | 0 | F | INACTIVE |
| Steuben Trust Corporation CRD: 132408 | - | 0 | 0 | - | Unknown |
| Stevard LLC CRD: 285189 | - | 0 | 1 | - | Unknown |
| Steve Bass & Associates, Inc. CRD: 127676 | - | 0 | 2 | - | Unknown |
| Steve Garrett and Associates,Inc. CRD: 126791 | - | 0 | 1 | - | Unknown |
| Steve Jensen DBA Vast Investments CRD: 142393 | - | 0 | 0 | - | Unknown |
| Steve LYNCH Wealth Management CRD: 113715 | - | 0 | 2 | - | Unknown |
| Steve Newman Financial Planning CRD: 304124 | - | 0 | 0 | - | Unknown |
| Steve P. Hagan & Associates CRD: 113371 | - | 0 | 0 | - | Unknown |
| Steve Robbins, Inc. CRD: 117909 | - | 0 | 0 | - | Unknown |
| Steven Alan Capital LLC CRD: 302089 | - | 0 | 0 | - | Unknown |
| Steven Andrew & Company, Inc. CRD: 16082 | - | 0 | 0 | A | INACTIVE |
| Steven Ayers & Company CRD: 122443 | - | 0 | 1 | - | Unknown |
| Steven C. Nelson, CFP CRD: 130218 | - | 0 | 2 | - | Unknown |
| Steven Charles Capital Ltd CRD: 104814 | - | 0 | 0 | - | Unknown |
| Steven D. Chang Group, Inc. CRD: 30538 | - | 0 | 0 | A | INACTIVE |
| Steven G. Blum and Associates, LLC CRD: 130807 | - | 0 | 3 | - | Unknown |
| Steven H. Lewis P.C. CRD: 139739 | - | 0 | 1 | - | Unknown |
| Steven Harold Lilienstein CRD: 112712 | - | 0 | 0 | - | Unknown |
| Steven Hecht Investments, Inc. CRD: 145639 | - | 0 | 2 | - | Unknown |
| Steven Hermann Advisory CRD: 340674 | - | 0 | 1 | - | Unknown |
| Steven Hirschtritt, Inc. CRD: 44139 | - | 0 | 0 | A | INACTIVE |
| Steven I. DYM & Co. CRD: 159124 | - | 0 | 0 | - | Unknown |
| Steven I. Ladenheim, CPA, LLC CRD: 153356 | - | 0 | 0 | - | Unknown |
| Steven J Corso CPA, LLC CRD: 142184 | - | 0 | 0 | - | Unknown |
| Steven J. Cwienkala,SR DBA Cwienkala & Salfi, CPA CRD: 124028 | - | 0 | 0 | - | Unknown |