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 Investment Advisory Services CRD: 168594 | - | 0 | 2 | - | Unknown |
| Summit Investment Group, Inc. CRD: 39982 | - | 0 | 0 | A | INACTIVE |
| Summit Investment Management, LLC CRD: 149793 | - | 0 | 2 | - | Unknown |
| Summit Investments LLC CRD: 291369 | - | 0 | 0 | - | Unknown |
| Summit Investments, Inc. CRD: 123722 | - | 0 | 2 | - | Unknown |
| Summit Management Technologies ABX, LLC CRD: 338628 | - | 0 | 1 | - | Unknown |
| Summit Partners Credit Advisors, L.P. CRD: 153195 | - | 0 | 1 | - | Unknown |
| Summit Partners Public Asset Management, LLC CRD: 175100 | - | 0 | 1 | - | Unknown |
| Summit Partners, L.P. CRD: 135271 | - | 0 | 1 | - | Unknown |
| Summit Peak Ventures GP, LLC CRD: 299831 | - | 0 | 0 | - | Unknown |
| Summit Place Financial Advisors, LLC CRD: 147984 | - | 0 | 5 | - | Unknown |
| Summit Planning Group LLC CRD: 139519 | - | 0 | 0 | - | Unknown |
| Summit Planning Group, Inc. CRD: 125994 | - | 0 | 1 | - | Unknown |
| Summit Planning Group, LLC CRD: 126563 | - | 0 | 3 | - | Unknown |
| Summit Private Investments, Inc. CRD: 105373 | - | 0 | 0 | - | Unknown |
| Summit Private Wealth, LLC CRD: 301688 | - | 0 | 1 | - | Unknown |
| Summit Realty Ventures LLC CRD: 167758 | - | 0 | 0 | - | Unknown |
| Summit Ridge Advisors CRD: 335600 | - | 0 | 1 | - | Unknown |
| Summit Rock Advisors, LP CRD: 144059 | - | 0 | 1 | - | Unknown |
| Summit Securities Group LLC CRD: 143727 | - | 0 | 0 | A | INACTIVE |
| Summit Securities Group LLC CRD: 159283 | NY | 10 | 5 | B | Active |
| Summit Securities Limited CRD: 10142 | - | 0 | 0 | A | INACTIVE |
| Summit Strategies Group CRD: 107161 | - | 0 | 0 | - | Unknown |
| Summit Street Capital Management, LLC CRD: 160129 | - | 0 | 1 | - | Unknown |
| Summit Trading, Inc. CRD: 43160 | - | 3 | 0 | C | INACTIVE |
| Summit Trading, LLC CRD: 42149 | - | 1 | 0 | B | INACTIVE |
| Summit Trail Advisors, LLC CRD: 220519 | - | 0 | 26 | - | Unknown |
| Summit Trail Securities, LLC CRD: 285784 | NY | 0 | 6 | A | Active |
| Summit View Capital Advisors CRD: 306552 | - | 0 | 2 | - | Unknown |
| Summit Vision Financial, LLC CRD: 299660 | - | 0 | 1 | - | Unknown |
| Summit Wealth Advisors, Inc. CRD: 288746 | - | 0 | 0 | - | Unknown |
| Summit Wealth Advocates, LLC CRD: 151330 | - | 0 | 0 | - | Unknown |
| Summit Wealth and Retirement Partners CRD: 285972 | - | 0 | 5 | - | Unknown |
| Summit Wealth and Retirement Partners CRD: 136918 | - | 0 | 0 | - | Unknown |
| Summit Wealth Group CRD: 335242 | - | 0 | 28 | - | Unknown |
| Summit Wealth Group LLC CRD: 282205 | - | 0 | 2 | - | Unknown |
| Summit Wealth Group, LLC CRD: 166118 | - | 0 | 1 | - | Unknown |
| Summit Wealth Investments CRD: 168731 | - | 0 | 0 | - | Unknown |
| Summit Wealth LLC CRD: 333475 | - | 0 | 1 | - | Unknown |
| Summit Wealth LLC CRD: 332859 | - | 0 | 1 | - | Unknown |
| Summit Wealth Management CRD: 318361 | - | 0 | 1 | - | Unknown |
| Summit Wealth Management LLC CRD: 226722 | - | 0 | 2 | - | Unknown |
| Summit Wealth Management, Inc CRD: 105714 | - | 0 | 0 | - | Unknown |
| Summit Wealth Partners, LLC CRD: 134620 | - | 0 | 0 | - | Unknown |
| Summit Wealth Partners, LLC CRD: 283648 | - | 0 | 12 | - | Unknown |
| Summit Wealth Solutions CRD: 147311 | - | 0 | 0 | - | Unknown |
| Summit Wealth Strategies CRD: 282502 | - | 0 | 0 | - | Unknown |
| Summit Wealth Strategies CRD: 332976 | - | 0 | 2 | - | Unknown |
| Summit Wealth Strategies Group, LLC CRD: 149913 | - | 0 | 1 | - | Unknown |
| Summitry, LLC CRD: 128586 | - | 0 | 11 | - | Unknown |