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 |
|---|---|---|---|---|---|
| SWH Securities, Inc. CRD: 41426 | - | 1 | 0 | B | INACTIVE |
| Swick, Daniel Robert CRD: 291212 | - | 0 | 0 | - | Unknown |
| Swider Investment Company, Inc. CRD: 13637 | - | 0 | 0 | A | INACTIVE |
| Swift Advisers, LLC CRD: 164271 | - | 0 | 0 | - | Unknown |
| Swift Advisors, LLC CRD: 144070 | - | 0 | 0 | - | Unknown |
| Swift Capital Partners CRD: 284255 | - | 0 | 0 | - | Unknown |
| Swift Capital Partners (E.E.) CRD: 159454 | - | 0 | 0 | - | Unknown |
| Swift Creek Capital, Inc. CRD: 154612 | - | 0 | 0 | - | Unknown |
| Swift Creek Partners CRD: 329614 | - | 0 | 1 | - | Unknown |
| Swift Energy Marketing Company CRD: 17422 | - | 0 | 0 | A | INACTIVE |
| Swift RUN Capital Management CRD: 159345 | - | 0 | 1 | - | Unknown |
| Swift Trade Securities USA Inc CRD: 45141 | - | 3 | 0 | C | INACTIVE |
| Swift Ventures CRD: 312847 | - | 0 | 1 | - | Unknown |
| Swift, Henke & Co., Inc. CRD: 803 | - | 0 | 0 | A | INACTIVE |
| Swiftarc Capital CRD: 164310 | - | 0 | 0 | - | Unknown |
| Swiftsure Securities LLC CRD: 139965 | - | 0 | 0 | A | INACTIVE |
| Swiftwater Capital CRD: 329458 | - | 0 | 1 | - | Unknown |
| Swink & Company, Inc. CRD: 7111 | - | 0 | 0 | A | INACTIVE |
| Swiss American Advisors Ltd. CRD: 152531 | - | 0 | 0 | - | Unknown |
| Swiss American Asset Management CRD: 309852 | - | 0 | 1 | - | Unknown |
| Swiss American Securities Inc. CRD: 7973 | - | 6 | 0 | D | INACTIVE |
| Swiss Finance Management International SA CRD: 284408 | - | 0 | 0 | - | Unknown |
| Swiss Financial Securities, Inc. CRD: 27423 | - | 0 | 0 | A | INACTIVE |
| Swiss Infinity Global Investments GMBH CRD: 157727 | - | 0 | 0 | - | Unknown |
| Swiss RE Capital Markets Corporation CRD: 39978 | NY | 0 | 2 | A | Active |
| Swiss RE Insurance-Linked Investment Advisors Corp… CRD: 318811 | - | 0 | 1 | - | Unknown |
| Swiss RE Insurance-Linked Investment Management Lt… CRD: 312427 | - | 0 | 0 | - | Unknown |
| Swiss Select Advisors, LLC CRD: 151914 | - | 0 | 0 | - | Unknown |
| Swiss Usadvisors CRD: 158706 | - | 0 | 0 | - | Unknown |
| Swiss-Asia Asset Management (HK) Limited CRD: 286183 | - | 0 | 0 | - | Unknown |
| Swisskey Fund Services, Inc. CRD: 27867 | - | 0 | 0 | A | INACTIVE |
| Swisspartners Advisors CRD: 148721 | - | 0 | 0 | - | Unknown |
| Swissus Investment Corporation CRD: 18302 | - | 0 | 0 | A | INACTIVE |
| Switch Venture Management, LLC CRD: 281898 | - | 0 | 1 | - | Unknown |
| Switchback Financial CRD: 312318 | - | 0 | 0 | - | Unknown |
| Switchback Ventures, LLC CRD: 230789 | - | 0 | 0 | - | Unknown |
| Swizzle Ventures, LLC CRD: 329593 | - | 0 | 1 | - | Unknown |
| SWK Advisors LLC CRD: 164637 | - | 0 | 0 | - | Unknown |
| Swla Securities Corp. CRD: 3543 | - | 0 | 0 | A | INACTIVE |
| SWM Advisors CRD: 158398 | - | 0 | 0 | - | Unknown |
| SWM Securities, Inc. CRD: 38637 | - | 0 | 0 | A | INACTIVE |
| SWMF Life Science Fund GP, LLC CRD: 162086 | - | 0 | 0 | - | Unknown |
| SWMG Holdings, LLC CRD: 285713 | - | 0 | 1 | - | Unknown |
| SWMG, LLC CRD: 166688 | - | 0 | 3 | - | Unknown |
| Sword and Shield Solutions LLC CRD: 333123 | - | 0 | 1 | - | Unknown |
| Sword Capital Partners, LLC CRD: 171909 | - | 0 | 0 | - | Unknown |
| SWR Securities, Inc. CRD: 15254 | - | 0 | 0 | A | INACTIVE |
| SWS Advisors, Inc. CRD: 120054 | - | 0 | 2 | - | Unknown |
| SWS Advisory Services CRD: 292294 | - | 0 | 0 | - | Unknown |
| SWS Capital Management, LLC CRD: 119043 | - | 0 | 1 | - | Unknown |