Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| S.P.I. Financial, Inc. CRD: 14183 | - | 0 | 0 | A | INACTIVE |
| S.S.R. Equity Corp. CRD: 23980 | - | 0 | 0 | A | INACTIVE |
| S.T.M. Options, Inc. CRD: 38316 | - | 0 | 0 | A | INACTIVE |
| S.W. Bach & Company CRD: 43522 | - | 4 | 0 | C | INACTIVE |
| S12 Group LLC CRD: 333997 | - | 0 | 2 | A | Unknown |
| S16 VC CRD: 327582 | - | 0 | 1 | A | Unknown |
| S2 Quantitative Asset Management, LLC CRD: 298393 | - | 0 | 0 | A | Unknown |
| S20 Capital, LLC CRD: 292022 | - | 0 | 4 | A | Unknown |
| S28 Capital LLC CRD: 281047 | - | 0 | 1 | A | Unknown |
| S2G CRD: 330236 | - | 0 | 0 | A | Unknown |
| S2G Investments, LLC CRD: 330022 | - | 0 | 1 | A | Unknown |
| S2K Financial LLC CRD: 248786 | FL | 0 | 3 | A | Active |
| S3 Securities LLC CRD: 132674 | - | 0 | 0 | A | INACTIVE |
| S3, Inc CRD: 108401 | - | 0 | 3 | A | Unknown |
| SA Advisory LLC CRD: 134085 | - | 0 | 0 | A | Unknown |
| SA Advisory LLC CRD: 285327 | - | 0 | 0 | A | Unknown |
| SA Financial Solutions, LLC CRD: 157790 | - | 0 | 1 | A | Unknown |
| SA Investment Advisory CRD: 329454 | - | 0 | 1 | A | Unknown |
| SAA Ventures, LP CRD: 104432 | - | 0 | 0 | A | INACTIVE |
| Saaga CRD: 327015 | - | 0 | 1 | A | Unknown |
| Saama Capital US Advisors CRD: 165097 | - | 0 | 0 | A | Unknown |
| Saas Ventures, L.L.C. CRD: 289393 | - | 0 | 1 | A | Unknown |
| Saba LT, LP CRD: 334114 | - | 0 | 1 | A | Unknown |
| Sabadell Securities USA, Inc. CRD: 148137 | FL | 0 | 2 | A | Active |
| Sabby Management, LLC CRD: 162659 | - | 0 | 0 | A | Unknown |
| Sabel Management Inc. CRD: 29149 | - | 0 | 0 | A | INACTIVE |
| Saberi Investments, LLC CRD: 333727 | - | 0 | 1 | A | Unknown |
| Sabine Securities Co., Inc. CRD: 24039 | - | 0 | 0 | A | INACTIVE |
| Sabre II, LLC CRD: 103320 | - | 0 | 0 | A | INACTIVE |
| Sabrient Systems, LLC CRD: 171096 | - | 0 | 3 | A | Unknown |
| Sabrina Investments, Inc. CRD: 17497 | - | 0 | 0 | A | INACTIVE |
| Sachem Hill LLC CRD: 174210 | - | 0 | 2 | A | Unknown |
| Sachem Hill, LLC CRD: 329004 | - | 0 | 0 | A | Unknown |
| Sachetta, LLC CRD: 145713 | - | 0 | 9 | A | Unknown |
| Sachs Investment Group CRD: 150377 | - | 0 | 0 | A | Unknown |
| Sadara Ventures CRD: 163682 | - | 0 | 0 | A | Unknown |
| Saddle Point Management, L.P. CRD: 298487 | - | 0 | 0 | A | Unknown |
| Saddle Point Management, L.P. CRD: 329856 | - | 0 | 1 | A | Unknown |
| Saddock Wealth, LLC CRD: 161568 | - | 0 | 1 | A | Unknown |
| Saen Options USA Inc. CRD: 103752 | - | 1 | 0 | B | INACTIVE |
| Safanad Inc. CRD: 170969 | - | 0 | 1 | A | Unknown |
| Safar Partners LLC CRD: 305059 | - | 0 | 1 | A | Unknown |
| Safe and Smart Money, LLC CRD: 173716 | - | 0 | 0 | A | Unknown |
| Safe Harbor Assets CRD: 324397 | - | 0 | 1 | A | Unknown |
| Safe Harbor Planning Corp. CRD: 14189 | - | 0 | 0 | A | INACTIVE |
| Safe Harbor Securities, Inc. CRD: 27140 | - | 0 | 0 | A | INACTIVE |
| Safe Harbour LLC CRD: 300265 | - | 0 | 0 | A | Unknown |
| Safe Money Inc. CRD: 285163 | - | 0 | 1 | A | Unknown |
| Safe Money Management CRD: 157089 | - | 0 | 1 | A | Unknown |
| Safe Money Solutions, LLC CRD: 283832 | - | 0 | 2 | A | Unknown |