Broker-Dealer Firms
189 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 |
|---|---|---|---|---|---|
| Scott T. Taylor, Ltd. CRD: 136414 | TX | 0 | 2 | A | Active |
| Sealy Investment Securities, LLC CRD: 300691 | TX | 0 | 2 | A | Active |
| Select Capital Corporation CRD: 145997 | TX | 0 | 2 | A | Active |
| Sendero Securities, LLC CRD: 146627 | TX | 0 | 2 | A | Active |
| Share Financial Services, Inc. CRD: 11226 | TX | 3 | 3 | B | Active |
| Signal Securities, Inc. CRD: 15916 | TX | 5 | 31 | B | Active |
| Smith Capital Markets, LLC. CRD: 121430 | TX | 1 | 2 | B | Active |
| SP Securities LLC CRD: 130560 | TX | 1 | 2 | B | Active |
| Sterling Smith Corporation CRD: 38041 | TX | 0 | 2 | A | Active |
| Sunbelt Securities, Inc. CRD: 42180 | TX | 2 | 25 | B | Active |
| SWBC Investment Services, LLC CRD: 133715 | TX | 2 | 6 | B | Active |
| Tcbi Securities, Inc. CRD: 313304 | TX | 0 | 7 | A | Active |
| Techspeed Clearing LLC CRD: 313766 | TX | 0 | 3 | A | Active |
| Tenoaks Energy Advisors, LLC CRD: 173696 | TX | 0 | 2 | A | Active |
| Texakoma Financial, Inc. CRD: 16910 | TX | 5 | 2 | C | Active |
| Texas Corporate Capital Advisors CRD: 135671 | TX | 0 | 2 | A | Active |
| Texas Securities, Inc. CRD: 120148 | TX | 1 | 2 | B | Active |
| THE Champion Group, Inc. CRD: 23418 | TX | 0 | 2 | A | Active |
| THE Tidal Group, Inc. CRD: 39782 | TX | 1 | 2 | B | Active |
| Titleist Capital, LLC CRD: 126136 | TX | 2 | 9 | B | Active |
| Toyota Financial Services Securities USA Corporati… CRD: 135978 | TX | 0 | 2 | A | Active |
| Tpeg Securities, LLC CRD: 146726 | TX | 3 | 2 | B | Active |
| TPG Capital BD, LLC CRD: 143876 | TX | 0 | 7 | A | Active |
| TRB Capital Markets, LLC CRD: 322618 | TX | 0 | 11 | A | Active |
| TZ Clear LLC CRD: 8089 | TX | 5 | 2 | C | Active |
| Usaa Investment Services Company CRD: 5475 | TX | 5 | 92 | B | Active |
| Usca Securities LLC CRD: 103789 | TX | 3 | 7 | B | Active |
| USP Securities Corporation CRD: 47725 | TX | 1 | 2 | B | Active |
| Valic Financial Advisors, Inc. CRD: 42803 | TX | 20 | 450 | B | Active |
| Valkyrie Equities Corporation CRD: 155936 | TX | 0 | 2 | A | Active |
| Waterford Capital, Inc. CRD: 21687 | TX | 3 | 2 | B | Active |
| Waterview Securities, Inc. CRD: 147300 | TX | 0 | 2 | A | Active |
| Western Strategic Assets, L.L.C. CRD: 118757 | TX | 0 | 2 | A | Active |
| Westmoreland Capital Corporation CRD: 11469 | TX | 5 | 3 | B | Active |
| Wilson Parker Connally Stephenson Inc CRD: 16505 | TX | 3 | 2 | B | Active |
| Winlo Management Group, LLC CRD: 288383 | TX | 0 | 2 | A | Active |
| Woodrock Securities, L.P. CRD: 133653 | TX | 2 | 3 | B | Active |
| Worth Financial Group Inc. CRD: 13478 | TX | 6 | 13 | B | Active |
| Xlii Financial Services LLC CRD: 289250 | TX | 0 | 2 | A | Active |
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