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 |
|---|---|---|---|---|---|
| Summit Advisor Group CRD: 324490 | - | 0 | 1 | - | Unknown |
| Summit Advisor Solutions CRD: 118581 | - | 0 | 0 | - | Unknown |
| Summit Advisors Inc. CRD: 169103 | - | 0 | 0 | - | Unknown |
| Summit Advisors, LLC CRD: 144486 | - | 0 | 3 | - | Unknown |
| Summit Advisory Solutions, Ltd. CRD: 115374 | - | 0 | 0 | - | Unknown |
| Summit AG Advisors, LLC CRD: 297593 | - | 0 | 1 | - | Unknown |
| Summit Asset Strategies Wealth Management, LLC CRD: 139728 | - | 0 | 0 | - | Unknown |
| Summit Bank Discount Brokerage CRD: 17038 | - | 0 | 0 | A | INACTIVE |
| Summit Breeze Haven Exchange Ltd CRD: 339334 | - | 0 | 1 | - | Unknown |
| Summit Brokerage Services, Inc. CRD: 13475 | - | 0 | 0 | A | INACTIVE |
| Summit Brokerage Services, Inc. CRD: 34643 | - | 21 | 0 | F | INACTIVE |
| Summit Capital Corporation CRD: 13895 | - | 0 | 0 | A | INACTIVE |
| Summit Capital Group LLC CRD: 326154 | - | 0 | 1 | - | Unknown |
| Summit Capital Group,Ltd. CRD: 14097 | - | 0 | 0 | A | INACTIVE |
| Summit Capital Inc. CRD: 121335 | - | 0 | 3 | - | Unknown |
| Summit Capital Investment Corporation CRD: 14677 | - | 0 | 0 | A | INACTIVE |
| Summit Capital Markets, Inc. CRD: 27883 | - | 0 | 0 | A | INACTIVE |
| Summit Capital Partners, LLC CRD: 129495 | - | 0 | 0 | A | INACTIVE |
| Summit Capital Solutions LLC CRD: 281478 | - | 0 | 1 | - | Unknown |
| Summit Consultants, Inc. CRD: 121905 | - | 0 | 3 | - | Unknown |
| Summit Corporation CRD: 14887 | - | 0 | 0 | A | INACTIVE |
| Summit Creek Advisors CRD: 135496 | - | 0 | 1 | - | Unknown |
| Summit Energy Development Group CRD: 104558 | - | 0 | 0 | - | Unknown |
| Summit Equities, Inc. CRD: 11039 | - | 4 | 0 | C | INACTIVE |
| Summit Equity Management, Inc. CRD: 132071 | - | 0 | 1 | - | Unknown |
| Summit Equity Partners Ltd. CRD: 338043 | - | 0 | 1 | - | Unknown |
| Summit Family Office Services, LLC CRD: 171313 | - | 0 | 5 | - | Unknown |
| Summit Financial CRD: 281050 | - | 0 | 0 | - | Unknown |
| Summit Financial CRD: 109280 | - | 0 | 0 | - | Unknown |
| Summit Financial Advisors CRD: 123926 | - | 0 | 1 | - | Unknown |
| Summit Financial Concepts, Inc. CRD: 33785 | - | 0 | 0 | A | INACTIVE |
| Summit Financial Group Inc CRD: 109485 | - | 0 | 0 | - | Unknown |
| Summit Financial Group, LLC CRD: 125144 | - | 0 | 1 | - | Unknown |
| Summit Financial Inc. CRD: 14043 | - | 0 | 0 | A | INACTIVE |
| Summit Financial Partners, Inc. CRD: 117749 | - | 0 | 0 | - | Unknown |
| Summit Financial Planning CRD: 306991 | - | 0 | 0 | - | Unknown |
| Summit Financial Resources Inc CRD: 104990 | - | 0 | 0 | - | Unknown |
| Summit Financial Securities, Inc. CRD: 16359 | - | 0 | 0 | A | INACTIVE |
| Summit Financial Services Group, Inc. CRD: 7246 | - | 3 | 0 | C | INACTIVE |
| Summit Financial Strategies Inc CRD: 110112 | - | 0 | 1 | - | Unknown |
| Summit Financial Strategies, Inc CRD: 107818 | - | 0 | 0 | - | Unknown |
| Summit Financial Working With People YOU Trust CRD: 126570 | - | 0 | 1 | - | Unknown |
| Summit Financial, LLC CRD: 299322 | - | 0 | 267 | - | Unknown |
| Summit Gates Capital CRD: 296071 | - | 0 | 1 | - | Unknown |
| Summit Global Investments, LLC CRD: 157091 | - | 0 | 83 | - | Unknown |
| Summit Group Advisors LLC CRD: 127225 | - | 0 | 0 | A | INACTIVE |
| Summit Group Investment Securities, Inc. CRD: 14626 | - | 0 | 0 | A | INACTIVE |
| Summit Group Retirement Planners, Inc. CRD: 169823 | - | 0 | 2 | - | Unknown |
| Summit Hill Wealth Management, LLC CRD: 296740 | - | 0 | 1 | - | Unknown |
| Summit House Capital Management, LLC CRD: 306823 | - | 0 | 2 | - | Unknown |