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 |
|---|---|---|---|---|---|
| Seminario Securities CRD: 315218 | FL | 0 | 2 | A | Active |
| Semper Financial CRD: 158686 | - | 0 | 3 | A | Unknown |
| Semper Inc. CRD: 316808 | - | 0 | 0 | A | Unknown |
| Senahill Securities, LLC CRD: 166477 | NY | 0 | 2 | A | Active |
| Senate Securities CRD: 20458 | NY | 1 | 3 | B | Active |
| Send V10 AL, LLC CRD: 324661 | - | 0 | 0 | A | Unknown |
| Sendero Securities, LLC CRD: 146627 | TX | 0 | 2 | A | Active |
| Seneca Securities, Inc. CRD: 41530 | - | 0 | 0 | A | INACTIVE |
| Senior Advisor Group CRD: 134413 | - | 0 | 0 | A | Unknown |
| Senior Advisory Group, LLC CRD: 144380 | - | 0 | 1 | A | Unknown |
| Senior TAX Advisory Group CRD: 305375 | - | 0 | 0 | A | Unknown |
| Sennosen LLC CRD: 300699 | - | 0 | 0 | A | Unknown |
| Senrigan CRD: 162009 | - | 0 | 0 | A | Unknown |
| Sensible Investments Inc CRD: 106418 | - | 0 | 0 | A | Unknown |
| Senstomi CRD: 336311 | - | 0 | 1 | A | Unknown |
| Sentinel Advisory Corp CRD: 108720 | - | 0 | 2 | A | Unknown |
| Sentinel Advisory Group, LLC CRD: 338121 | - | 0 | 1 | A | Unknown |
| Sentinel Capital Solutions CRD: 157844 | - | 0 | 0 | A | Unknown |
| Sentinel Financial CRD: 174324 | - | 0 | 1 | A | Unknown |
| Sentinel Securities, Inc. CRD: 22531 | - | 0 | 0 | A | INACTIVE |
| Sentinel Securities, LLC. CRD: 110942 | MA | 1 | 3 | B | Active |
| Sentinel Ventures CRD: 327766 | - | 0 | 1 | A | Unknown |
| Sentinel Wealth Inc CRD: 122923 | - | 0 | 1 | A | Unknown |
| Sentinel Wealth Strategies CRD: 285889 | - | 0 | 1 | A | Unknown |
| Sentry Equity Services, Inc. CRD: 5069 | WI | 2 | 2 | B | Active |
| Sentry Management Inc CRD: 107379 | - | 0 | 1 | A | Unknown |
| Sentry Securites Corp. CRD: 10028 | - | 0 | 0 | A | INACTIVE |
| Sentry Wealth, Inc. CRD: 171345 | - | 0 | 0 | A | Unknown |
| Sentry, LLC CRD: 150593 | - | 0 | 1 | A | Unknown |
| Senzible Trading L.L.C. CRD: 129799 | - | 0 | 0 | A | INACTIVE |
| SEO Management AG CRD: 340869 | - | 0 | 0 | A | Unknown |
| Seoul Securities, Ltd. CRD: 10925 | - | 0 | 0 | A | INACTIVE |
| Sequams Trading Corp. CRD: 103993 | - | 1 | 0 | B | INACTIVE |
| Sequel Holdings, L.P. CRD: 170237 | - | 0 | 1 | A | Unknown |
| Sequoia Financial Group, L.L.C. CRD: 117756 | - | 0 | 215 | A | Unknown |
| Sequoia Investments, Inc. CRD: 39341 | - | 2 | 0 | B | INACTIVE |
| Sequoia S.F.A. CRD: 158031 | - | 0 | 0 | A | Unknown |
| Sequoia Wealth, LLC CRD: 170044 | - | 0 | 0 | A | Unknown |
| Sequoyah Securities Corp. CRD: 11036 | - | 0 | 0 | A | INACTIVE |
| Seraphim Space Manager LLP CRD: 330887 | - | 0 | 0 | A | Unknown |
| Serco Investments Inc. CRD: 113879 | - | 0 | 1 | A | Unknown |
| Serene Financial Solutions CRD: 307284 | - | 0 | 1 | A | Unknown |
| Serene Growth Partners LLC CRD: 269929 | - | 0 | 1 | A | Unknown |
| Serenity Capital LLC CRD: 286253 | - | 0 | 0 | A | Unknown |
| Serenity Investment Advisors CRD: 307924 | - | 0 | 3 | A | Unknown |
| Serenity Onchain, LLC CRD: 314969 | - | 0 | 0 | A | Unknown |
| Serfin Securities,Inc. CRD: 16683 | - | 0 | 0 | A | INACTIVE |
| Series X Capital CRD: 335150 | - | 0 | 1 | A | Unknown |
| Seriesone Securities, LLC CRD: 297799 | - | 1 | 0 | B | INACTIVE |
| Serna Securities, Inc. CRD: 126247 | - | 0 | 0 | A | Unknown |