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 |
|---|---|---|---|---|---|
| Shaw Asset Management CRD: 284454 | - | 0 | 0 | A | Unknown |
| Shaw Group LLC CRD: 130670 | - | 0 | 0 | A | Unknown |
| Shaw Investments, LLC CRD: 141550 | - | 0 | 0 | A | Unknown |
| Shawler, David F. CRD: 33437 | - | 0 | 0 | A | INACTIVE |
| Shay Financial Services Co. CRD: 27215 | - | 0 | 0 | A | INACTIVE |
| Shayne & Jacobs, LLC CRD: 109423 | - | 0 | 3 | A | Unknown |
| SHD Holdings LLC CRD: 140769 | - | 0 | 0 | A | INACTIVE |
| SHD Management, LLC CRD: 170651 | - | 0 | 1 | A | Unknown |
| SHE DDF1 GP, LLC CRD: 291636 | - | 0 | 0 | A | Unknown |
| Shea - O'day Securities Inc CRD: 13497 | - | 0 | 0 | A | INACTIVE |
| Shea Ventures CRD: 163320 | - | 0 | 0 | A | Unknown |
| Shealy Wealth Advisory LLC CRD: 310488 | - | 0 | 1 | A | Unknown |
| Sheen Falls Strategies, LLC CRD: 164016 | - | 0 | 0 | A | Unknown |
| Sheffield Securities, Inc. CRD: 16475 | - | 0 | 0 | A | INACTIVE |
| Sheikh Investments, Inc. CRD: 305832 | - | 0 | 1 | A | Unknown |
| Shelbourne Securities, LLC CRD: 132972 | - | 1 | 0 | B | INACTIVE |
| Shelman Securities Corp. CRD: 39795 | - | 7 | 0 | D | INACTIVE |
| Shelter Investments, Inc. CRD: 15221 | - | 0 | 0 | A | INACTIVE |
| Shelter Rock Securities Corp. CRD: 11043 | - | 0 | 0 | A | INACTIVE |
| Sheltered Garden Financial Group LLC CRD: 335217 | - | 0 | 1 | A | Unknown |
| Shen, JIE CFA CRD: 170263 | - | 0 | 0 | A | Unknown |
| Shepherd Kaplan Krochuk, LLC CRD: 127304 | - | 0 | 1 | A | Unknown |
| Shepherd Kaplan LLC CRD: 128244 | - | 0 | 5 | A | Unknown |
| Shepherd Street Advisors CRD: 306021 | - | 0 | 1 | A | Unknown |
| Shepherd's Advisory Group, LLC CRD: 158092 | - | 0 | 0 | A | Unknown |
| Shepherd's Creek CRD: 302039 | - | 0 | 0 | A | Unknown |
| Shepherd's Financial LLC CRD: 335206 | - | 0 | 1 | A | Unknown |
| Shepherds of Capital CRD: 339703 | - | 0 | 2 | A | Unknown |
| Sheridan Securities Inc CRD: 11649 | - | 0 | 0 | A | INACTIVE |
| Sherman Financial CRD: 285007 | - | 0 | 1 | A | Unknown |
| Sherman Werst Wealth Advisors CRD: 121303 | - | 0 | 0 | A | Unknown |
| Sherman, Young & Leavitt, LLC CRD: 152955 | - | 0 | 2 | A | Unknown |
| Sherow Management, LLC CRD: 169199 | - | 0 | 1 | A | Unknown |
| Sherpa Investment Services CRD: 167350 | - | 0 | 0 | A | Unknown |
| Sherpa Partners, Inc CRD: 326308 | - | 0 | 0 | A | Unknown |
| Sherwood Capital, Inc. CRD: 10474 | - | 0 | 0 | A | INACTIVE |
| Sherwood Investments CRD: 113622 | - | 0 | 1 | A | Unknown |
| Sheth Group CRD: 312251 | - | 0 | 1 | A | Unknown |
| Shetland Financial CRD: 308000 | - | 0 | 0 | A | Unknown |
| SHFP, LLC CRD: 171571 | - | 0 | 1 | A | Unknown |
| Shield Investment CRD: 309125 | - | 0 | 0 | A | Unknown |
| Shift to Impact CRD: 297489 | - | 0 | 0 | A | Unknown |
| Shift to Impact CRD: 312244 | - | 0 | 1 | A | Unknown |
| Shih Investments LLC CRD: 149729 | - | 0 | 0 | A | Unknown |
| Shilanski & Associates, Inc. CRD: 116431 | - | 0 | 0 | A | Unknown |
| Shilla Advisory LLC CRD: 338692 | - | 0 | 1 | A | Unknown |
| Shimkus, Peter E CRD: 130080 | - | 0 | 2 | A | Unknown |
| Shin OAK Financial CRD: 315562 | - | 0 | 0 | A | Unknown |
| Shine Capital CRD: 311659 | - | 0 | 1 | A | Unknown |
| Shinko Securities (U.S.A.) Inc. CRD: 121142 | - | 1 | 0 | B | INACTIVE |