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 |
|---|---|---|---|---|---|
| THE Rosenthal Group CRD: 131682 | - | 0 | 0 | - | Unknown |
| THE Roxborough Group CRD: 310949 | - | 0 | 1 | - | Unknown |
| THE Royal OAK Securities, Inc. CRD: 15482 | - | 0 | 0 | A | INACTIVE |
| THE Rule Wealth Management LLC CRD: 152941 | - | 0 | 0 | - | Unknown |
| THE Rushmere Partnership CRD: 336382 | - | 0 | 1 | - | Unknown |
| THE Ryan Group Portfolio Design LLC CRD: 124774 | - | 0 | 1 | - | Unknown |
| THE S.F. Trading Group, L.L.C CRD: 42376 | - | 0 | 0 | A | INACTIVE |
| THE Sachs Company CRD: 13310 | - | 3 | 0 | C | INACTIVE |
| THE Salient Zarvona Energy Fund GP, L.P. CRD: 162712 | - | 0 | 2 | - | Unknown |
| THE Salvetti Group CRD: 324974 | - | 0 | 3 | - | Unknown |
| THE Samuel K. Frazier Investment Company CRD: 16729 | - | 0 | 0 | A | INACTIVE |
| THE Sand Hill Corporation CRD: 6294 | - | 0 | 0 | A | INACTIVE |
| THE Saratoga Group CRD: 22219 | - | 0 | 0 | A | INACTIVE |
| THE Sawyer Company CRD: 10515 | - | 0 | 0 | A | INACTIVE |
| THE Saxon Group, Inc. CRD: 17611 | - | 0 | 0 | A | INACTIVE |
| THE Schamber Group, Inc. CRD: 166747 | - | 0 | 1 | - | Unknown |
| THE Schierholz Securities Company CRD: 13339 | - | 0 | 0 | A | INACTIVE |
| THE Schroedl Group CRD: 14572 | - | 0 | 0 | A | INACTIVE |
| THE Schuett Real Estate Investment Company CRD: 16463 | - | 0 | 0 | A | INACTIVE |
| THE Schwister Group, Inc CRD: 340551 | - | 0 | 0 | - | Unknown |
| THE Scott S. James Company CRD: 105861 | - | 0 | 1 | - | Unknown |
| THE SEB Group, Inc. CRD: 134156 | - | 0 | 1 | - | Unknown |
| THE Securities Center, Inc. CRD: 13971 | - | 2 | 0 | B | INACTIVE |
| THE Seidler Companies Incorporated CRD: 3911 | - | 10 | 0 | D | INACTIVE |
| THE Sentient Group Limited CRD: 163287 | - | 0 | 0 | - | Unknown |
| THE Shattan Group LLC CRD: 41331 | - | 1 | 0 | B | INACTIVE |
| THE Shemano Group, Inc. CRD: 35528 | - | 9 | 0 | D | INACTIVE |
| THE Shepler Financial Group, LLC CRD: 170818 | - | 0 | 0 | - | Unknown |
| THE Sher Wealth Management Group CRD: 172369 | - | 0 | 1 | - | Unknown |
| THE Sherrington Group CRD: 119864 | - | 0 | 2 | - | Unknown |
| THE Sherry Group, Inc. CRD: 146271 | - | 0 | 2 | - | Unknown |
| THE Sherwin Group CRD: 165093 | - | 0 | 2 | - | Unknown |
| THE Shield Finance CRD: 341345 | - | 0 | 1 | - | Unknown |
| THE Shobe Financial Group CRD: 114975 | - | 0 | 0 | - | Unknown |
| THE Siekmann Company CRD: 285337 | - | 0 | 1 | - | Unknown |
| THE Silverfern Group, Inc. CRD: 119266 | - | 0 | 0 | A | INACTIVE |
| THE Simmons Partnership, Inc CRD: 156740 | - | 0 | 1 | - | Unknown |
| THE Simple Investor's Guide, LLC CRD: 285860 | - | 0 | 1 | - | Unknown |
| THE Simpson Firm LLC CRD: 299204 | - | 0 | 2 | - | Unknown |
| THE Sirona Fund LLC CRD: 170467 | - | 0 | 0 | - | Unknown |
| THE Smith Island Investment Co CRD: 108515 | - | 0 | 0 | - | Unknown |
| THE Social Equity Group, Inc. CRD: 123747 | - | 0 | 2 | - | Unknown |
| THE Soul Rider LLC CRD: 299707 | - | 0 | 1 | - | Unknown |
| THE Source CRD: 126066 | - | 0 | 0 | - | Unknown |
| THE Southern Funds Group, LLC CRD: 159848 | - | 0 | 1 | - | Unknown |
| THE Sova Group, LLC CRD: 283412 | - | 0 | 0 | - | Unknown |
| THE Space Between LLC CRD: 323364 | - | 0 | 0 | - | Unknown |
| THE Space Between MGMT LLC CRD: 330301 | - | 0 | 1 | - | Unknown |
| THE Spano Group Wealth Managers CRD: 327702 | - | 0 | 1 | - | Unknown |
| THE Spartan Group CRD: 124430 | CA | 0 | 3 | A | Active |