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 |
|---|---|---|---|---|---|
| Swan Cross-BEE Sportstech GP, LLC CRD: 321837 | - | 0 | 0 | - | Unknown |
| Swan DFW Financial Solutions, LLC CRD: 173964 | - | 0 | 1 | - | Unknown |
| Swan Fund Management LLC CRD: 330386 | - | 0 | 1 | - | Unknown |
| Swan Global Investments, LLC CRD: 114669 | - | 0 | 12 | - | Unknown |
| Swan Global Management CRD: 173621 | - | 0 | 1 | - | Unknown |
| Swan Investment Partners CRD: 331679 | - | 0 | 0 | - | Unknown |
| Swan Retirement Strategies CRD: 332099 | - | 0 | 1 | - | Unknown |
| Swan Venture Group, LLC CRD: 307747 | - | 0 | 1 | - | Unknown |
| Swan Ventures GP, LLC CRD: 307711 | - | 0 | 0 | - | Unknown |
| Swan Ventures HNW GP, LLC CRD: 315541 | - | 0 | 1 | - | Unknown |
| Swan Wealth Advisors, LLC CRD: 292755 | - | 0 | 1 | - | Unknown |
| Swan Wealth Management LLC CRD: 340388 | - | 0 | 1 | - | Unknown |
| Swanbrook Financial Services Incorporated CRD: 18607 | - | 0 | 0 | A | INACTIVE |
| Swancap Investment Management SA CRD: 170204 | - | 0 | 0 | - | Unknown |
| Swander Pace Capital CRD: 157259 | - | 0 | 1 | - | Unknown |
| Swanson & Co., Inc. CRD: 7860 | - | 0 | 0 | A | INACTIVE |
| Swanson Financial Services, Inc. CRD: 143113 | - | 0 | 0 | - | Unknown |
| Swanson River Capital Management LLC CRD: 166031 | - | 0 | 1 | - | Unknown |
| Swanton Securities, Inc. CRD: 5823 | - | 0 | 0 | A | INACTIVE |
| Swapnick, LLC CRD: 299071 | - | 0 | 0 | - | Unknown |
| Swapnick, LLC CRD: 316239 | - | 0 | 1 | - | Unknown |
| Swartwood, Hesse Inc. CRD: 8603 | - | 6 | 0 | D | INACTIVE |
| Swartz Advisory LLC CRD: 298154 | - | 0 | 1 | - | Unknown |
| Swartz Wealth Management LLC CRD: 337684 | - | 0 | 2 | - | Unknown |
| Sway Ventures Management LLC CRD: 170302 | - | 0 | 1 | - | Unknown |
| SWBC Investment Advisory Services LLC CRD: 156155 | - | 0 | 1 | - | Unknown |
| SWBC Investment Company CRD: 140994 | - | 0 | 4 | - | Unknown |
| SWBC Investment Company CRD: 28861 | - | 0 | 0 | A | INACTIVE |
| SWBC Investment Services, LLC CRD: 133715 | TX | 2 | 6 | B | Active |
| Sweater Industries LLC CRD: 317749 | - | 0 | 1 | - | Unknown |
| Swedan Investment Management CRD: 152553 | - | 0 | 0 | - | Unknown |
| Swedbank Securities Incorporated CRD: 38783 | - | 0 | 0 | A | INACTIVE |
| Swedbank Securities US, LLC CRD: 141190 | - | 0 | 0 | A | INACTIVE |
| Sweeney & Michel, LLC CRD: 282595 | - | 0 | 1 | - | Unknown |
| Sweeney Asset Management LLC CRD: 130567 | - | 0 | 0 | - | Unknown |
| Sweerts & Vaas LLC CRD: 140507 | - | 0 | 0 | A | INACTIVE |
| Sweetbay Capital Management, LLC CRD: 219514 | - | 0 | 0 | - | Unknown |
| Sweetgum Laboratories LLC CRD: 304783 | - | 0 | 2 | - | Unknown |
| Sweetmoney CRD: 174075 | - | 0 | 1 | - | Unknown |
| Sweetspot Investments LLC CRD: 145289 | - | 0 | 0 | - | Unknown |
| Sweetwater Holdings CRD: 174098 | - | 0 | 0 | - | Unknown |
| Sweetwater Investments Inc CRD: 107493 | - | 0 | 0 | - | Unknown |
| Sweetwater Private Equity CRD: 297613 | - | 0 | 1 | - | Unknown |
| Sweitzer, Joshua CRD: 107009 | - | 0 | 0 | A | INACTIVE |
| Swell Financial CRD: 317029 | - | 0 | 1 | - | Unknown |
| Swell Investing LLC CRD: 285058 | - | 0 | 0 | - | Unknown |
| Swen Capital Partners CRD: 333594 | - | 0 | 0 | - | Unknown |
| Sweney Cartwright & Company CRD: 3546 | - | 7 | 0 | D | INACTIVE |
| Swenson HE Capital Management, LLC CRD: 306538 | - | 0 | 1 | - | Unknown |
| Sweven Wealth CRD: 298524 | - | 0 | 0 | - | Unknown |