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 Spence Financial Group, Inc CRD: 141968 | - | 0 | 0 | - | Unknown |
| THE Spinelli Group LLC CRD: 145515 | - | 0 | 1 | - | Unknown |
| THE Sports Advisory Group, LLC CRD: 301573 | - | 0 | 0 | - | Unknown |
| THE Stagwell Group LLC CRD: 175350 | - | 0 | 0 | - | Unknown |
| THE Stalder Group CRD: 293297 | - | 0 | 1 | - | Unknown |
| THE Stalwart Group LLC CRD: 170578 | - | 0 | 0 | - | Unknown |
| THE Stamford Company, Inc. CRD: 23725 | - | 0 | 0 | A | INACTIVE |
| THE Stanrich Company CRD: 7244 | - | 0 | 0 | A | INACTIVE |
| THE Starting Line Management, LLC CRD: 299356 | - | 0 | 0 | - | Unknown |
| THE Stearns Company CRD: 14274 | - | 0 | 0 | A | INACTIVE |
| THE Sterling Group CRD: 111782 | - | 0 | 2 | - | Unknown |
| THE Sterling Group, L.P. CRD: 157406 | - | 0 | 1 | - | Unknown |
| THE Stewardship Center, Inc. CRD: 112626 | - | 0 | 2 | - | Unknown |
| THE Stewardship Fund GP, LLC CRD: 321726 | - | 0 | 1 | - | Unknown |
| THE Stewardship Solution CRD: 282050 | - | 0 | 1 | - | Unknown |
| THE Stone Programs Corporation CRD: 11356 | - | 0 | 0 | A | INACTIVE |
| THE Storey Corporation CRD: 20876 | - | 0 | 0 | A | INACTIVE |
| THE Strategic Alliance Corporation CRD: 32788 | NC | 0 | 2 | A | Active |
| THE Strategic Financial Alliance, Inc. CRD: 126514 | GA | 1 | 66 | B | Active |
| THE Strategic Planning Group Incorporated CRD: 14001 | - | 0 | 0 | A | INACTIVE |
| THE Street, Inc. CRD: 120682 | - | 1 | 0 | B | INACTIVE |
| THE Stuart-James Company, Incorporated CRD: 11691 | - | 0 | 0 | A | INACTIVE |
| THE Sturges Company CRD: 17025 | FL | 0 | 2 | A | Active |
| THE Sullivan Financial Corporation CRD: 10440 | - | 0 | 0 | A | INACTIVE |
| THE Sullivan Group CRD: 150705 | - | 0 | 4 | - | Unknown |
| THE SUM CRD: 297658 | - | 0 | 1 | - | Unknown |
| THE Summit Group CRD: 173130 | - | 0 | 1 | - | Unknown |
| THE Sunnoor Corporation CRD: 45773 | - | 2 | 0 | B | INACTIVE |
| THE Swanson Financial Group CRD: 164869 | - | 0 | 1 | - | Unknown |
| THE Swarthmore Group, Inc. CRD: 107056 | - | 0 | 0 | - | Unknown |
| THE Syndicate Group, Inc. CRD: 298881 | - | 0 | 1 | - | Unknown |
| THE Table Financial Planning LLC CRD: 291812 | - | 0 | 2 | - | Unknown |
| THE Taggart Company Ltd. CRD: 10636 | - | 2 | 0 | B | INACTIVE |
| THE Tavenner Company CRD: 18004 | OH | 0 | 6 | A | Active |
| THE Telge Companies CRD: 116800 | - | 0 | 0 | - | Unknown |
| THE Tempest Financial Group PLLC CRD: 312592 | - | 0 | 1 | - | Unknown |
| THE Tenret Company, LLC CRD: 298570 | - | 0 | 2 | - | Unknown |
| THE Terrio Group CRD: 156394 | - | 0 | 0 | - | Unknown |
| THE Thermopylae Group, Inc. CRD: 3059 | - | 9 | 0 | D | INACTIVE |
| THE Third Friday Group, LLC CRD: 165840 | - | 0 | 0 | - | Unknown |
| THE Third Market Corp. CRD: 30181 | - | 5 | 0 | C | INACTIVE |
| THE Thom Group CRD: 122968 | - | 0 | 0 | - | Unknown |
| THE Thompson Group, Inc. CRD: 21812 | - | 2 | 0 | B | INACTIVE |
| THE Thornwater Company, L.P. CRD: 36195 | - | 18 | 0 | F | INACTIVE |
| THE Tiberius Fund L.L.C. CRD: 42534 | - | 0 | 0 | A | INACTIVE |
| THE Tiberius Master Fund Ltd. CRD: 107026 | - | 0 | 0 | A | INACTIVE |
| THE Tiberius Qualified Master Fund Ltd. CRD: 124608 | - | 1 | 0 | B | INACTIVE |
| THE Tidal Group, Inc. CRD: 39782 | TX | 1 | 2 | B | Active |
| THE Tides Group CRD: 310110 | - | 0 | 1 | - | Unknown |
| THE Tilted Funds Group, LLC CRD: 141537 | - | 0 | 2 | - | Unknown |