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 |
|---|---|---|---|---|---|
| Sugar Maple Asset Management, LLC CRD: 282632 | - | 0 | 2 | - | Unknown |
| Sugarloaf Rock Capital, LLC CRD: 149406 | - | 0 | 0 | - | Unknown |
| Sugarwood Financial CRD: 226597 | - | 0 | 0 | - | Unknown |
| Sugden Wealth Management, LLC CRD: 165766 | - | 0 | 1 | - | Unknown |
| Sugo Capital, LLC CRD: 315516 | - | 0 | 1 | - | Unknown |
| Suhre Wealth Management, Inc. CRD: 282701 | - | 0 | 0 | - | Unknown |
| Suitt CRD: 175218 | - | 0 | 0 | - | Unknown |
| Sulcata Ventures, LLC CRD: 342321 | - | 0 | 1 | - | Unknown |
| Sullivan & Associates CRD: 106570 | - | 0 | 1 | - | Unknown |
| Sullivan & Serwitz CRD: 106029 | - | 0 | 0 | - | Unknown |
| Sullivan Capital Management CRD: 112365 | - | 0 | 1 | - | Unknown |
| Sullivan Dunn Wealth Management CRD: 333496 | - | 0 | 1 | - | Unknown |
| Sullivan Financial Strategies, LLC CRD: 164474 | - | 0 | 0 | - | Unknown |
| Sullivan Financial, LLC CRD: 121371 | - | 0 | 1 | - | Unknown |
| Sullivan Haymaker CRD: 332055 | - | 0 | 1 | - | Unknown |
| Sullivan Investments Group, LLC CRD: 148708 | - | 0 | 0 | - | Unknown |
| Sullivan Mermel, Inc. CRD: 146266 | - | 0 | 1 | - | Unknown |
| Sullivan Retirement Resources, LLC CRD: 293997 | - | 0 | 1 | - | Unknown |
| Sullivan, Gerard Gregory CRD: 36383 | - | 1 | 0 | B | INACTIVE |
| Sullivan, Jeffrey Bradford CRD: 32902 | - | 0 | 0 | A | INACTIVE |
| Sullivan, John Jude CRD: 124155 | - | 0 | 0 | A | INACTIVE |
| Sullivan, Morrissey & Mickle Securities Corp. CRD: 7727 | - | 0 | 0 | A | INACTIVE |
| Sullivan, Timothy J. CRD: 103844 | - | 0 | 0 | A | INACTIVE |
| SUM-Mers Securities, Inc. CRD: 13561 | - | 0 | 0 | A | INACTIVE |
| Suma Monde Kapital Partners, LLC CRD: 321073 | - | 0 | 1 | - | Unknown |
| Suma Securities, LLC CRD: 35852 | - | 0 | 0 | A | INACTIVE |
| Sumatra Securities, Inc. CRD: 8599 | - | 0 | 0 | A | INACTIVE |
| Sumeru Equity Partners CRD: 172955 | - | 0 | 1 | - | Unknown |
| Sumitomo Mitsui DS Asset Management (Hong Kong) Li… CRD: 110459 | - | 0 | 0 | - | Unknown |
| Sumitomo Mitsui DS Asset Management (Singapore) PT… CRD: 309255 | - | 0 | 0 | - | Unknown |
| Sumitomo Mitsui DS Asset Management Company, Limit… CRD: 301509 | - | 0 | 0 | - | Unknown |
| Sumitomo Mitsui Trust (Hong Kong) Limited CRD: 137109 | - | 0 | 0 | - | Unknown |
| Sumitomo Mitsui Trust Asset Management Co., Ltd. CRD: 300608 | - | 0 | 0 | - | Unknown |
| Summa Capital Securities, Inc. CRD: 14753 | - | 0 | 0 | A | INACTIVE |
| Summa Corp. CRD: 113091 | - | 0 | 1 | - | Unknown |
| Summa Equity CRD: 286140 | - | 0 | 0 | - | Unknown |
| Summa Global Advisors, LLC CRD: 148713 | - | 0 | 1 | - | Unknown |
| Summa Wealth Management CRD: 284399 | - | 0 | 1 | - | Unknown |
| Summer Family Advisors LLC CRD: 338026 | - | 0 | 1 | - | Unknown |
| Summer Street Capital Partners, LLC CRD: 161009 | - | 0 | 1 | - | Unknown |
| Summer Street Financial Advisors, LLC CRD: 125086 | - | 0 | 0 | - | Unknown |
| Summer Street Research Partners CRD: 127142 | - | 2 | 0 | B | INACTIVE |
| Summer Street Securities, LLC CRD: 108133 | - | 0 | 0 | A | INACTIVE |
| Summerhill & Co., LLC CRD: 293069 | - | 0 | 1 | - | Unknown |
| Summerhill Venture Partners Management Inc. CRD: 161607 | - | 0 | 0 | - | Unknown |
| Summerlake Capital, LLC CRD: 309504 | - | 0 | 0 | - | Unknown |
| Summerland Advisors, LLC CRD: 163791 | - | 0 | 0 | - | Unknown |
| Summerlin Family Wealth, LLC CRD: 189517 | - | 0 | 0 | - | Unknown |
| Summers & Company, Inc. CRD: 5781 | - | 0 | 0 | A | INACTIVE |
| Summers Value Partners LLC CRD: 297254 | - | 0 | 1 | - | Unknown |