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 |
|---|---|---|---|---|---|
| Sharegain Securities Inc. CRD: 318555 | NY | 0 | 2 | A | Active |
| Sharenett Securities LLC CRD: 151011 | NY | 0 | 2 | A | Active |
| Shelter Rock Capital Group LLC CRD: 156753 | NY | 0 | 2 | A | Active |
| SI Securities, LLC CRD: 170937 | NY | 1 | 1 | B | Active |
| Sidoti & Company, LLC CRD: 102860 | NY | 3 | 2 | B | Active |
| Siebert Williams Shank & Co., LLC CRD: 42568 | NY | 4 | 33 | B | Active |
| SIG Brokerage, LP CRD: 100400 | NY | 4 | 2 | B | Active |
| Sigma Americas Securities LLC CRD: 207515 | NY | 0 | 2 | A | Active |
| Siguler Guff Global Markets, LLC CRD: 159534 | NY | 0 | 2 | A | Active |
| Silver Leaf Partners, LLC CRD: 126694 | NY | 1 | 2 | B | Active |
| Sixth Street BD, LLC CRD: 281933 | NY | 0 | 5 | A | Active |
| SMBC Nikko Securities America, Inc. CRD: 28602 | NY | 1 | 9 | C | Active |
| SMBC Nikko Securities Canada, Ltd. CRD: 297706 | NY | 0 | 2 | A | Active |
| SMG Securities, Inc. CRD: 17406 | NY | 0 | 2 | A | Active |
| Snowden Account Services LLC CRD: 149794 | NY | 0 | 16 | A | Active |
| Solomon Partners Securities, LLC CRD: 28041 | NY | 1 | 5 | B | Active |
| Sonenshine & Company LLC CRD: 104357 | NY | 2 | 2 | B | Active |
| South Street Securities LLC CRD: 125202 | NY | 1 | 3 | B | Active |
| Spartan Capital Securities, LLC CRD: 146251 | NY | 16 | 5 | C | Active |
| Speedtrader, Inc CRD: 107403 | NY | 22 | 2 | D | Active |
| Spencer-Winston Securities Corporation CRD: 8300 | NY | 7 | 5 | B | Active |
| SPP Capital Partners L L C CRD: 38103 | NY | 0 | 3 | A | Active |
| Square Global Markets CRD: 158419 | NY | 0 | 2 | A | Active |
| Standard Chartered Securities North America LLC CRD: 130847 | NY | 1 | 4 | C | Active |
| Standard NEW York, Inc. CRD: 173725 | NY | 0 | 2 | A | Active |
| Stash Capital LLC CRD: 287728 | NY | 1 | 2 | B | Active |
| Stern Capital LLC CRD: 131226 | NY | 0 | 2 | A | Active |
| STG Securities, LLC CRD: 322438 | NY | 0 | 2 | A | Active |
| Stockblock Securities CRD: 307304 | NY | 0 | 3 | A | Active |
| Stockkings Capital LLC CRD: 164445 | NY | 2 | 1 | B | Active |
| Stonecastle Securities, LLC CRD: 131211 | NY | 0 | 3 | A | Active |
| Stonehaven, LLC CRD: 118913 | NY | 1 | 3 | C | Active |
| Stonepeak Securities LLC CRD: 316392 | NY | 0 | 3 | A | Active |
| Stonington Corporation CRD: 35917 | NY | 4 | 1 | C | Active |
| Stratcap Securities, LLC CRD: 151152 | NY | 1 | 2 | B | Active |
| Strategas Securities, LLC DBA Strategas Research P… CRD: 149326 | NY | 0 | 4 | A | Active |
| Strathmore Group LLC CRD: 306089 | NY | 0 | 2 | A | Active |
| Stuart Portfolio Consultants, L.P. CRD: 44487 | NY | 1 | 2 | B | Active |
| Summit Securities Group LLC CRD: 159283 | NY | 10 | 5 | B | Active |
| Summit Trail Securities, LLC CRD: 285784 | NY | 0 | 6 | A | Active |
| Sunthay GRX LLC CRD: 314554 | NY | 0 | 2 | A | Active |
| Supervision Partners LLC CRD: 300528 | NY | 0 | 2 | A | Active |
| Surya Capitale Securities LLC CRD: 159173 | NY | 0 | 2 | A | Active |
| Swiss RE Capital Markets Corporation CRD: 39978 | NY | 0 | 2 | A | Active |
| Synergy Capital I, LLC CRD: 47965 | NY | 0 | 3 | A | Active |
| T3 Trading Group, LLC CRD: 154431 | NY | 3 | 5 | C | Active |
| TAG Capital Partners CRD: 318850 | NY | 0 | 4 | A | Active |
| Taglich Brothers, Inc. CRD: 29102 | NY | 9 | 2 | C | Active |
| Talos Markets LLC CRD: 335474 | NY | 0 | 2 | A | Active |
| TAP Securities LLC CRD: 151593 | NY | 0 | 2 | A | Active |