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 |
|---|---|---|---|---|---|
| Serra Securities CRD: 8126 | - | 0 | 0 | A | INACTIVE |
| Serra Ventures, LLC CRD: 301961 | - | 0 | 1 | A | Unknown |
| Servco Securities Corp. CRD: 6909 | - | 0 | 0 | A | INACTIVE |
| Service ONE Financial CRD: 149137 | - | 0 | 2 | A | Unknown |
| Seslia Securities CRD: 30624 | - | 1 | 2 | B | INACTIVE |
| Sessa Capital CRD: 166403 | - | 0 | 1 | A | Unknown |
| Seth Heine LLC CRD: 326952 | - | 0 | 1 | A | Unknown |
| Seth Wealth Management CRD: 317915 | - | 0 | 0 | A | Unknown |
| Sethia Group - Fzco CRD: 337298 | - | 0 | 0 | A | Unknown |
| Seton Securities Group, Inc. CRD: 18044 | - | 11 | 0 | D | INACTIVE |
| Seva Growth LP CRD: 328067 | - | 0 | 1 | A | Unknown |
| Seven Hills Capital Corp. CRD: 338305 | - | 0 | 0 | A | Unknown |
| Seven Mile Advisory LLC CRD: 324114 | - | 0 | 3 | A | Unknown |
| Seven Seas Advisors Co., Ltd. CRD: 321175 | - | 0 | 0 | A | Unknown |
| Seven Springs Wealth Group CRD: 127411 | - | 0 | 2 | A | Unknown |
| Seven TWO Partners CRD: 297575 | - | 0 | 0 | A | Unknown |
| Seven2 SAS CRD: 164876 | - | 0 | 0 | A | Unknown |
| Seventh Management, Inc. CRD: 21863 | - | 0 | 0 | A | INACTIVE |
| Seventure Partners CRD: 299870 | - | 0 | 0 | A | Unknown |
| Seville Securities Ltd. CRD: 15103 | - | 0 | 0 | A | INACTIVE |
| Seward Securities, Inc. CRD: 21894 | - | 0 | 0 | A | INACTIVE |
| Sextant Securities, LLC CRD: 283937 | NY | 0 | 2 | A | Active |
| Seymour Hayman & Co. CRD: 2157 | - | 0 | 0 | A | INACTIVE |
| SF Benefits CRD: 143553 | - | 0 | 0 | A | Unknown |
| SF Investments, Inc. CRD: 6564 | IL | 4 | 2 | B | Active |
| SF Planning Group LLC CRD: 331145 | - | 0 | 1 | A | Unknown |
| SFA Financial, LLC CRD: 149647 | - | 0 | 0 | A | INACTIVE |
| SFC Energy Partners CRD: 162431 | - | 0 | 0 | A | Unknown |
| SFC Equities Inc. CRD: 5857 | - | 0 | 0 | A | INACTIVE |
| SFC Financial LLC CRD: 129817 | - | 0 | 4 | A | Unknown |
| SFD Capital LLC CRD: 285204 | - | 0 | 0 | A | Unknown |
| Sfermion CRD: 317207 | - | 0 | 1 | A | Unknown |
| SFG Wealth Management CRD: 285785 | - | 0 | 4 | A | Unknown |
| SFI Capital Group, LLC CRD: 141979 | - | 0 | 0 | A | INACTIVE |
| SFI Investments, Inc. CRD: 21663 | - | 0 | 0 | A | INACTIVE |
| SFM Holding GMBH CRD: 338942 | - | 0 | 1 | A | Unknown |
| SFM, LLC CRD: 116564 | - | 0 | 2 | A | Unknown |
| SFO Capital, Inc. CRD: 172412 | - | 0 | 1 | A | Unknown |
| SFO Resources, Inc. CRD: 15051 | - | 0 | 0 | A | INACTIVE |
| Sfri Securities LLC CRD: 141096 | - | 0 | 0 | A | INACTIVE |
| SFS Financial Services, Inc. CRD: 27304 | - | 0 | 0 | A | INACTIVE |
| SFS Interests, Inc. CRD: 153284 | - | 0 | 0 | A | Unknown |
| SFS Securities Corp. CRD: 14643 | - | 0 | 0 | A | INACTIVE |
| SG Americas Securities, LLC CRD: 128351 | NY | 115 | 5 | F | Active |
| SG Equities Corporation CRD: 17900 | - | 0 | 0 | A | INACTIVE |
| SG Financial CRD: 334710 | - | 0 | 1 | A | Unknown |
| SG Financial Group, LLC CRD: 324737 | - | 0 | 1 | A | Unknown |
| SG Financial Group, Ltd. CRD: 14988 | - | 0 | 0 | A | INACTIVE |
| SG Partners, LLC DBA SG CRD: 170220 | - | 0 | 0 | A | Unknown |
| SG Real Estate I CRD: 334205 | - | 0 | 1 | A | Unknown |