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 |
|---|---|---|---|---|---|
| Susan Raisman CRD: 6588 | - | 0 | 0 | A | INACTIVE |
| Susan S. LIU, Advisor CRD: 136217 | - | 0 | 0 | - | Unknown |
| Susko Wealth Advisors CRD: 329858 | - | 0 | 1 | - | Unknown |
| Susko Wealth Management, LLC CRD: 159362 | - | 0 | 0 | - | Unknown |
| Susquehanna Fixed Income, L.P. CRD: 103776 | - | 0 | 0 | A | INACTIVE |
| Susquehanna Investment Group CRD: 33875 | PA | 42 | 3 | D | Active |
| Susquehanna Securities, LLC CRD: 35874 | PA | 60 | 3 | F | Active |
| Sussex Financial Group, Inc. CRD: 18313 | - | 1 | 0 | B | INACTIVE |
| Sussex Securities Incorporated CRD: 13596 | - | 0 | 0 | A | INACTIVE |
| Sussex Securities LLC CRD: 37594 | - | 0 | 0 | A | INACTIVE |
| Sussex Securities LLC CRD: 284189 | - | 0 | 0 | - | Unknown |
| Sussex Wealth Strategies LLC CRD: 306490 | - | 0 | 0 | - | Unknown |
| Sussie Jordan, CFP CRD: 118289 | - | 0 | 0 | - | Unknown |
| Sustain Financial Inc. CRD: 289303 | - | 0 | 2 | - | Unknown |
| Sustainable Advisors Alliance LLC CRD: 312061 | - | 0 | 8 | - | Unknown |
| Sustainable Desal, LLC CRD: 277150 | - | 0 | 0 | - | Unknown |
| Sustainable Development Capital LLP CRD: 299443 | - | 0 | 0 | - | Unknown |
| Sustainable Development Capital, LLC CRD: 156046 | - | 1 | 0 | B | INACTIVE |
| Sustainable Food Ventures CRD: 311140 | - | 0 | 1 | - | Unknown |
| Sustainable Growth Advisers, LP CRD: 127447 | - | 0 | 1 | - | Unknown |
| Sustainable Ocean Alliance Inc. CRD: 325718 | - | 0 | 0 | - | Unknown |
| Sustainable Portfolio Solutions, LLC CRD: 207511 | - | 0 | 0 | - | Unknown |
| Sustainable Wealth Strategies, LLC CRD: 323611 | - | 0 | 1 | - | Unknown |
| Sustained Wealth Management CRD: 282634 | - | 0 | 2 | - | Unknown |
| Sutra Ventures LLC CRD: 315793 | - | 0 | 0 | - | Unknown |
| Sutro & Co. Incorporated CRD: 801 | - | 32 | 0 | F | INACTIVE |
| Sutro Advisors CRD: 297856 | - | 0 | 1 | - | Unknown |
| Sutter Capital Partners, LLC CRD: 288442 | - | 0 | 0 | - | Unknown |
| Sutter Capital Partners, LLC CRD: 312689 | - | 0 | 3 | - | Unknown |
| Sutter Hill Ventures CRD: 162959 | - | 0 | 1 | - | Unknown |
| Sutter Mill Capital Management LLC CRD: 159494 | - | 0 | 0 | - | Unknown |
| Sutter Securities Clearing, LLC CRD: 134742 | CA | 0 | 2 | A | Active |
| Sutter Securities Incorporated CRD: 30770 | CA | 3 | 4 | B | Active |
| Sutter Street Securities CRD: 17723 | - | 0 | 0 | A | INACTIVE |
| Sutterfield Financial Group, Inc. CRD: 115652 | - | 0 | 8 | - | Unknown |
| Suttle Investment Advisors, LLC CRD: 139495 | - | 0 | 0 | - | Unknown |
| Sutton Advisors, PLC CRD: 124963 | - | 0 | 0 | - | Unknown |
| Sutton Financial Group CRD: 307351 | - | 0 | 1 | - | Unknown |
| Sutton Place Financial, Inc. CRD: 108441 | - | 0 | 0 | - | Unknown |
| Sutton Place Securities, Inc. CRD: 10031 | - | 0 | 0 | A | INACTIVE |
| Sutton Square Management L.P. CRD: 284643 | - | 0 | 0 | - | Unknown |
| Sutton Wealth Advisors, Inc. CRD: 145359 | - | 0 | 0 | - | Unknown |
| Suttona Capital LLC CRD: 314160 | - | 0 | 1 | - | Unknown |
| Suttway Securities Corp CRD: 2348 | - | 0 | 0 | A | INACTIVE |
| Suvan Ventures LLC CRD: 324608 | - | 0 | 1 | - | Unknown |
| Suyash Advisors CRD: 162725 | - | 0 | 0 | - | Unknown |
| Suzanne Hall Christian CRD: 113651 | - | 0 | 0 | - | Unknown |
| Suzanne Joseph & Associates, Inc. CRD: 120279 | - | 0 | 0 | - | Unknown |
| Suzick, Czar Michael CRD: 132084 | - | 0 | 1 | - | Unknown |
| SV Tech Ventures, Inc. CRD: 286312 | - | 0 | 1 | - | Unknown |