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 |
|---|---|---|---|---|---|
| Summittx Capital, L.P. CRD: 333741 | - | 0 | 1 | - | Unknown |
| Summitview Advisors CRD: 292927 | - | 0 | 1 | - | Unknown |
| Summitview Capital, Inc. CRD: 29706 | - | 0 | 0 | A | INACTIVE |
| Sumnar LLC CRD: 113695 | - | 0 | 0 | A | INACTIVE |
| Sumner Harrington Ltd. CRD: 45858 | - | 1 | 0 | B | INACTIVE |
| Sumner Securities Co. CRD: 16284 | - | 0 | 0 | A | INACTIVE |
| Sumner,Warren & Company, Inc. CRD: 22454 | - | 0 | 0 | A | INACTIVE |
| Sumnicht & Associates, LLC CRD: 111421 | - | 0 | 3 | - | Unknown |
| Sumo Capital, LLC CRD: 146310 | IL | 22 | 2 | D | Active |
| Sumridge Partners, LLC CRD: 152437 | NJ | 0 | 9 | A | Active |
| Sumus Financial LLC CRD: 340066 | - | 0 | 1 | - | Unknown |
| SUN Asset Management, Inc. CRD: 140435 | - | 0 | 0 | - | Unknown |
| SUN Capital Advisors, L.P. CRD: 155109 | - | 0 | 1 | - | Unknown |
| SUN Capital Partners, Inc. CRD: 39298 | - | 0 | 0 | A | INACTIVE |
| SUN Consolidated Securities, Inc. CRD: 38241 | - | 0 | 0 | A | INACTIVE |
| SUN Creek Holdings LLC CRD: 165110 | - | 0 | 1 | - | Unknown |
| SUN Empire Securities, Inc. CRD: 15568 | - | 0 | 0 | A | INACTIVE |
| SUN Enterprises Securities, Inc. CRD: 24920 | - | 0 | 0 | A | INACTIVE |
| SUN European Partners LLP CRD: 342904 | - | 0 | 0 | - | Unknown |
| SUN Global LLC CRD: 317484 | - | 0 | 3 | - | Unknown |
| SUN Group Wealth Partners LLC CRD: 166372 | - | 0 | 2 | - | Unknown |
| SUN Life Financial Distributors, Inc. CRD: 5496 | - | 0 | 0 | A | INACTIVE |
| SUN Life Institutional Distributors (U.S.) LLC CRD: 170062 | MA | 0 | 8 | A | Active |
| SUN Mountain Capital Advisors, LLC CRD: 151477 | - | 0 | 1 | - | Unknown |
| SUN Mountain Partners, LLC CRD: 290560 | - | 0 | 0 | - | Unknown |
| SUN Securities, Inc. CRD: 16150 | - | 0 | 0 | A | INACTIVE |
| SUN Trading Execution Services, LLC CRD: 153574 | - | 0 | 0 | A | INACTIVE |
| SUN Valley Advisors, Inc. CRD: 118914 | - | 0 | 1 | - | Unknown |
| SUN Valley Advisory CRD: 330092 | - | 0 | 2 | - | Unknown |
| SUN Valley Gold LLC CRD: 108858 | - | 0 | 2 | - | Unknown |
| SUN Valley Gold Trading, Inc. CRD: 30148 | - | 0 | 0 | A | INACTIVE |
| SUN West Capital Corporation CRD: 13612 | - | 0 | 0 | A | INACTIVE |
| SUN West Securities, Ltd. CRD: 10837 | - | 0 | 0 | A | INACTIVE |
| SUN Yuan Brokerage, Inc. CRD: 36656 | - | 0 | 0 | A | INACTIVE |
| Sun's Brothers Securities Inc. CRD: 123531 | HI | 3 | 2 | B | Active |
| SUN-Apollo Management LLC CRD: 160751 | - | 0 | 0 | - | Unknown |
| Sunamerica Asset Management, LLC CRD: 107338 | - | 0 | 1 | - | Unknown |
| Sunamerica Securities, Inc. CRD: 20068 | - | 27 | 0 | F | INACTIVE |
| Sunbelt Resources, Inc. CRD: 14959 | - | 0 | 0 | A | INACTIVE |
| Sunbelt Securities, Inc. CRD: 10389 | - | 0 | 0 | A | INACTIVE |
| Sunbelt Securities, Inc. CRD: 42180 | TX | 2 | 25 | B | Active |
| Sunbelt Tectonics Equities, Inc. CRD: 17126 | - | 0 | 0 | A | INACTIVE |
| Sunbridge Management, Inc. CRD: 126299 | - | 0 | 0 | - | Unknown |
| Sunbridge Partners CRD: 300655 | - | 0 | 0 | - | Unknown |
| Sunburst Financial Group, LLC CRD: 283605 | - | 0 | 3 | - | Unknown |
| Suncap Management CRD: 304638 | - | 0 | 1 | - | Unknown |
| Suncoast Advisory Group CRD: 153239 | - | 0 | 0 | - | Unknown |
| Suncoast Capital Group, Ltd. CRD: 31214 | - | 0 | 0 | A | INACTIVE |
| Suncoast Equities CRD: 15535 | - | 0 | 0 | A | INACTIVE |
| Suncoast Equity Management, LLC CRD: 108289 | - | 0 | 1 | - | Unknown |