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 |
|---|---|---|---|---|---|
| SG Securities, Inc. CRD: 113033 | - | 0 | 0 | A | INACTIVE |
| SG Securities, LLC CRD: 181524 | - | 0 | 1 | A | Unknown |
| SG Select CRD: 165199 | - | 0 | 0 | A | Unknown |
| SG Trading Solutions, LLC CRD: 322928 | - | 0 | 1 | A | Unknown |
| SG3 Management, LLC CRD: 285449 | - | 0 | 0 | A | Unknown |
| SGA Capital LLC CRD: 340789 | - | 0 | 1 | A | Unknown |
| SGC Securities LP CRD: 118934 | - | 0 | 0 | A | INACTIVE |
| SGH Wealth Management CRD: 284067 | - | 0 | 1 | A | Unknown |
| SGI Partners CRD: 324921 | - | 0 | 1 | A | Unknown |
| SGI Securities LLC CRD: 155643 | NY | 1 | 2 | B | Active |
| SGI, LLC CRD: 32922 | - | 2 | 0 | B | INACTIVE |
| Sgim CRD: 291173 | - | 0 | 0 | A | Unknown |
| SGKD Advisory Services LLC CRD: 286273 | - | 0 | 2 | A | Unknown |
| SGL Financial, LLC CRD: 158023 | - | 0 | 11 | A | Unknown |
| SGM Securities, Inc. CRD: 13972 | - | 0 | 0 | A | INACTIVE |
| SGP Securities, LLC CRD: 328824 | NY | 0 | 2 | A | Active |
| SGT Capital CRD: 316133 | - | 0 | 0 | A | Unknown |
| SGT Capital AG CRD: 332633 | - | 0 | 0 | A | Unknown |
| SH Fund CRD: 325479 | - | 0 | 1 | A | Unknown |
| SH Investment & Securities CRD: 123074 | - | 6 | 0 | D | INACTIVE |
| SHA Advisory CRD: 330626 | - | 0 | 2 | A | Unknown |
| Shafter, Ethel a. CRD: 125699 | - | 0 | 0 | A | Unknown |
| Shah, Rooshil CRD: 314032 | - | 0 | 0 | A | Unknown |
| Shaker Financial Services CRD: 121534 | - | 0 | 3 | A | Unknown |
| Shaker Investments CRD: 119135 | - | 0 | 3 | A | Unknown |
| Shalom Global Capital Group LLC CRD: 309315 | - | 0 | 1 | A | Unknown |
| Shamrock Advisory Group LLC CRD: 151374 | - | 0 | 0 | A | Unknown |
| Shamus Group, Inc. CRD: 5036 | - | 0 | 0 | A | INACTIVE |
| Shanna Securities, Inc. CRD: 15981 | - | 0 | 0 | A | INACTIVE |
| Shanzer Management CRD: 124452 | - | 0 | 2 | A | Unknown |
| Shapers CRD: 336435 | - | 0 | 0 | A | Unknown |
| Shapiro, Barbara CRD: 133327 | - | 0 | 0 | A | Unknown |
| Shaps, Robert Sidney CRD: 35790 | - | 0 | 0 | A | INACTIVE |
| Share CRD: 326052 | - | 0 | 0 | A | Unknown |
| Share and Harris, L.L.C. CRD: 122770 | - | 0 | 2 | A | Unknown |
| Share King, LLC CRD: 33150 | - | 5 | 0 | C | INACTIVE |
| Sharegain Securities Inc. CRD: 318555 | NY | 0 | 2 | A | Active |
| Sharegro Inc CRD: 307197 | - | 0 | 0 | A | Unknown |
| Shareholder Services Corp. CRD: 22522 | - | 0 | 0 | A | INACTIVE |
| Shareks Stock Portfolios CRD: 144822 | - | 0 | 2 | A | Unknown |
| Sharenett Securities LLC CRD: 151011 | NY | 0 | 2 | A | Active |
| Sharp Advisory Services CRD: 125265 | - | 0 | 0 | A | Unknown |
| Sharp Financial CRD: 289325 | - | 0 | 4 | A | Unknown |
| Sharp Investments, Inc. CRD: 117085 | - | 0 | 0 | A | Unknown |
| Sharp Shield Management, LLC CRD: 315873 | - | 0 | 0 | A | Unknown |
| Sharpe 4 Securities, LLC CRD: 136353 | - | 0 | 0 | A | INACTIVE |
| Shasta Partners, LLC CRD: 124358 | MA | 0 | 2 | A | Active |
| Shasta Ventures CRD: 162676 | - | 0 | 0 | A | Unknown |
| Shaun Buss LLC CRD: 104300 | - | 0 | 0 | A | INACTIVE |
| Shaw & Co. CRD: 3381 | - | 0 | 0 | A | INACTIVE |