Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Revere Merchant Securities, LLC CRD: 171843 | NY | 0 | 2 | A | Active |
| Revere Securities LLC CRD: 14178 | NY | 17 | 4 | C | Active |
| Revolut Securities Inc. CRD: 304600 | NY | 0 | 2 | A | Active |
| Rhone Group Advisors LLC CRD: 106342 | NY | 0 | 2 | A | Active |
| Richard James & Associates, Inc. CRD: 169131 | NY | 0 | 2 | A | Active |
| Risevest Financial Securities Limited CRD: 151120 | NY | 0 | 2 | A | Active |
| RMB Securities (USA) Inc. CRD: 314958 | NY | 0 | 2 | A | Active |
| RNR Securities, L.L.C. CRD: 43689 | NY | 4 | 6 | B | Active |
| Roberts & Ryan, Inc. CRD: 19456 | NY | 1 | 6 | B | Active |
| Robotti Securities, LLC CRD: 13251 | NY | 2 | 2 | B | Active |
| ROC Global LLC CRD: 154058 | NY | 0 | 2 | A | Active |
| Rockefeller Financial LLC CRD: 291361 | NY | 1 | 189 | B | Active |
| Rodman & Renshaw, LLC CRD: 281264 | NY | 0 | 3 | A | Active |
| Rondout Partners, LLC CRD: 298367 | NY | 0 | 2 | A | Active |
| Roosevelt & Cross, Incorporated CRD: 6964 | NY | 4 | 14 | B | Active |
| Rose & Co. Capital Advisors, LLC CRD: 168274 | NY | 0 | 1 | A | Active |
| Rosenblatt Securities Inc. CRD: 18377 | NY | 6 | 3 | B | Active |
| Rothschild & Co Redburn CRD: 140564 | NY | 1 | 4 | B | Active |
| Rothschild & Co US Inc. CRD: 2910 | NY | 1 | 5 | B | Active |
| Royal Treasure Securities LLC CRD: 292325 | NY | 0 | 2 | A | Active |
| Royce Fund Services, LLC CRD: 14470 | NY | 0 | 2 | A | Active |
| RPP Securities CRD: 314893 | NY | 0 | 1 | A | Active |
| RQD* Clearing, LLC CRD: 134284 | NY | 6 | 2 | C | Active |
| Ruffer LLC CRD: 322523 | NY | 0 | 2 | A | Active |
| Ryan TAX Capital, LLC CRD: 321878 | NY | 0 | 2 | A | Active |
| S. Goldman Advisors, LLC CRD: 139529 | NY | 0 | 2 | A | Active |
| Safra Securities LLC CRD: 47873 | NY | 3 | 5 | B | Active |
| Sage, Rutty & Co., Inc. CRD: 3254 | NY | 7 | 4 | B | Active |
| Samsung Securities (America), Inc. CRD: 43432 | NY | 0 | 2 | A | Active |
| Samuel a. Ramirez & Company, Inc. CRD: 6963 | NY | 8 | 14 | B | Active |
| Sand Capital LLC CRD: 298343 | NY | 0 | 2 | A | Active |
| Santander US Capital Markets LLC CRD: 150696 | NY | 5 | 13 | C | Active |
| Savvy Wealth Management LLC CRD: 338136 | NY | 0 | 2 | A | Active |
| SB1 Capital Markets Inc CRD: 154132 | NY | 0 | 2 | A | Active |
| Schroder Fund Advisors LLC CRD: 24129 | NY | 0 | 3 | A | Active |
| Scotia Capital (USA) Inc. CRD: 2739 | NY | 9 | 11 | C | Active |
| Seabury Securities LLC CRD: 41916 | NY | 0 | 2 | A | Active |
| Seacap Securities LLC CRD: 133994 | NY | 0 | 4 | A | Active |
| Seaport Global Securities LLC CRD: 116270 | NY | 3 | 21 | B | Active |
| Seaport Securities Corp. CRD: 8330 | NY | 1 | 2 | B | Active |
| SEB Securities, Inc. CRD: 23710 | NY | 0 | 2 | A | Active |
| Secfi Securities, LLC CRD: 302112 | NY | 0 | 2 | A | Active |
| Senahill Securities, LLC CRD: 166477 | NY | 0 | 2 | A | Active |
| Senate Securities CRD: 20458 | NY | 1 | 3 | B | Active |
| Seven Points Capital, LLC CRD: 144211 | NY | 7 | 4 | B | Active |
| Sextant Securities, LLC CRD: 283937 | NY | 0 | 2 | A | Active |
| SG Americas Securities, LLC CRD: 128351 | NY | 115 | 5 | F | Active |
| SGI Securities LLC CRD: 155643 | NY | 1 | 2 | B | Active |
| Sgma Capital Markets Limited CRD: 135327 | NY | 0 | 2 | A | Active |
| SGP Securities, LLC CRD: 328824 | NY | 0 | 2 | A | Active |