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 |
|---|---|---|---|---|---|
| Sander, Mark Stephen CRD: 127083 | - | 0 | 0 | A | INACTIVE |
| Sanderlin Securities, LLC CRD: 104442 | TN | 0 | 2 | A | Active |
| Sanders & Scott, CHFC CRD: 125741 | - | 0 | 1 | A | Unknown |
| Sanders Securities, Inc. CRD: 11031 | - | 0 | 0 | A | INACTIVE |
| Sanders Smith Limited CRD: 136506 | - | 0 | 1 | A | Unknown |
| Sandgrain Securities LLC CRD: 26004 | - | 3 | 0 | C | INACTIVE |
| Sandhill Strategy LLC CRD: 305208 | - | 0 | 0 | A | Unknown |
| Sandhurst Securities Ltd. CRD: 13831 | - | 0 | 0 | A | INACTIVE |
| Sandlapper Securities, LLC CRD: 137906 | - | 8 | 0 | D | INACTIVE |
| Sandler Securities, Inc. CRD: 10014 | - | 0 | 0 | A | INACTIVE |
| Sandler, O'neill & Partners, L.P. CRD: 23328 | - | 8 | 0 | D | INACTIVE |
| Sandlot Partners, LLC CRD: 311409 | - | 0 | 1 | A | Unknown |
| Sandos Financial CRD: 286347 | - | 0 | 1 | A | Unknown |
| Sandpath LLC CRD: 339219 | - | 0 | 1 | A | Unknown |
| Sandpiper Securities, LLC CRD: 42398 | - | 0 | 0 | A | INACTIVE |
| Sandy Point Partners CRD: 291748 | - | 0 | 0 | A | Unknown |
| Sanford Advisory CRD: 151388 | - | 0 | 0 | A | Unknown |
| Sanfrey Securities, Inc. CRD: 19770 | - | 0 | 0 | A | INACTIVE |
| Sanguine OWL, LC CRD: 163924 | - | 0 | 1 | A | Unknown |
| Sanibel Securities Group, Inc. CRD: 10713 | - | 0 | 0 | A | INACTIVE |
| Sankala Group LLC CRD: 154806 | - | 0 | 3 | A | Unknown |
| Sansoterra Group LLC CRD: 133586 | - | 0 | 2 | A | Unknown |
| Santa Barbara Securities, Inc. CRD: 8499 | - | 0 | 0 | A | INACTIVE |
| Santa FE Securities Corp. CRD: 31491 | - | 1 | 0 | B | INACTIVE |
| Santander Alternative Investments, Sgiic, S.A.U. CRD: 333187 | - | 0 | 0 | A | Unknown |
| Santander Asset Management SA Sgiic CRD: 143883 | - | 0 | 0 | A | Unknown |
| Santander Securities LLC CRD: 41791 | MA | 19 | 422 | B | Active |
| Sante Ventures CRD: 160280 | - | 0 | 1 | A | Unknown |
| Sanwa Duval L.P. CRD: 29042 | - | 0 | 0 | A | INACTIVE |
| Sanwa Securities (USA) Co., L.P. CRD: 19697 | - | 0 | 0 | A | INACTIVE |
| Sanyo Securities America Inc. CRD: 7385 | - | 0 | 0 | A | INACTIVE |
| Sapeno Inc. CRD: 124769 | - | 0 | 0 | A | Active |
| Sapia Partners LLP CRD: 172477 | - | 0 | 0 | A | Unknown |
| Sapphire Star Capital LLC CRD: 226665 | - | 0 | 2 | A | Unknown |
| Sapphire Wealth CRD: 340393 | - | 0 | 1 | A | Unknown |
| SAR Services, Inc. CRD: 113579 | - | 0 | 1 | A | Unknown |
| SAR Wealth Management CRD: 170194 | - | 0 | 1 | A | Unknown |
| Sara-BAY Financial Corp. CRD: 133443 | - | 0 | 1 | A | Unknown |
| Sarah Smith Fund, LLC CRD: 323926 | - | 0 | 1 | A | Unknown |
| Sarasin & Partners LLP CRD: 160009 | - | 0 | 0 | A | Unknown |
| Saratoga Capital Corp. CRD: 16231 | - | 0 | 0 | A | INACTIVE |
| Saraza Management LP CRD: 317572 | - | 0 | 1 | A | Unknown |
| Sarazen Investments, Inc. CRD: 19644 | - | 0 | 0 | A | INACTIVE |
| Sardis Group, LLC CRD: 333854 | - | 0 | 1 | A | Unknown |
| Sargent Management Co CRD: 110276 | - | 0 | 0 | A | Unknown |
| Sarkisian Securities, Inc. CRD: 124008 | - | 0 | 0 | A | INACTIVE |
| Sarmaya Partners, LLC CRD: 330100 | - | 0 | 1 | A | Unknown |
| Sarmis Capital Partners S.R.L. CRD: 307776 | - | 0 | 0 | A | Unknown |
| Sarofim Securities Co CRD: 11901 | - | 0 | 0 | A | INACTIVE |
| Sarsi, LLC CRD: 168399 | - | 0 | 1 | A | Unknown |