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 |
|---|---|---|---|---|---|
| Shinnecock Partners CRD: 166426 | - | 0 | 1 | A | Unknown |
| SHL Capital CRD: 310333 | - | 0 | 1 | A | Unknown |
| Shoals Capital CRD: 288201 | - | 0 | 0 | A | Unknown |
| Shockman Financial CRD: 315529 | - | 0 | 1 | A | Unknown |
| Shoker Investments CRD: 107857 | - | 0 | 2 | A | Unknown |
| Shomer Hawaii, LLC CRD: 324975 | - | 0 | 1 | A | Unknown |
| Shope Advisors Group CRD: 144056 | - | 0 | 1 | A | Unknown |
| Shopoff Securities, Inc. CRD: 142866 | CA | 0 | 2 | A | Active |
| Shore Financial Planning CRD: 299824 | - | 0 | 1 | A | Unknown |
| Shore Morgan Young Wealth Strategies CRD: 298682 | - | 0 | 0 | A | Unknown |
| Shore, Richard Stephen, JR. CRD: 41393 | - | 0 | 0 | A | INACTIVE |
| Shoreline Securities CRD: 133493 | - | 0 | 0 | A | INACTIVE |
| Short PUT Yield CRD: 331841 | - | 0 | 2 | A | Unknown |
| Shot Tower Securities LLC CRD: 169678 | MD | 0 | 2 | A | Active |
| Show Investment Co. CRD: 14065 | - | 0 | 0 | A | INACTIVE |
| Shriver Investments CRD: 147658 | - | 0 | 0 | A | Unknown |
| Shrug II GP, LLC CRD: 300744 | - | 0 | 0 | A | Unknown |
| Shrug, LLC CRD: 313323 | - | 0 | 1 | A | Unknown |
| SHS Securities, Inc. CRD: 129165 | - | 0 | 0 | A | INACTIVE |
| Shubert Rizor Securities, Inc. CRD: 18581 | - | 0 | 0 | A | INACTIVE |
| Shue Securities, Inc. CRD: 117854 | - | 0 | 0 | A | INACTIVE |
| Shukr Investments LLC CRD: 301190 | - | 0 | 1 | A | Unknown |
| Shulman & Co., Inc. CRD: 14755 | - | 0 | 0 | A | INACTIVE |
| Shuster Advisory Group, LLC CRD: 170233 | - | 0 | 2 | A | Unknown |
| Shutfin Partners LLC CRD: 327123 | - | 0 | 0 | A | Unknown |
| SHV Management, LLC CRD: 172512 | - | 0 | 1 | A | Unknown |
| SI Securities, LLC CRD: 170937 | NY | 1 | 1 | B | Active |
| SIA Securities Corporation CRD: 35403 | MN | 1 | 2 | B | Active |
| SIB LLC CRD: 161602 | - | 0 | 0 | A | Unknown |
| Sick Advisory Services CRD: 329803 | - | 0 | 1 | A | Unknown |
| Sickle Hunter Financial Advisors CRD: 172256 | - | 0 | 1 | A | Unknown |
| Sicor Securities Inc CRD: 16195 | - | 14 | 0 | D | INACTIVE |
| SID VP Management, LLC CRD: 318386 | - | 0 | 1 | A | Unknown |
| Siddha, LLC CRD: 285082 | - | 0 | 0 | A | Unknown |
| Siddiqi, Mashhood Z. CRD: 122393 | - | 0 | 0 | A | Unknown |
| Siddiqui Investments CRD: 314831 | - | 0 | 1 | A | Unknown |
| Side Door Ventures CRD: 333188 | - | 0 | 1 | A | Unknown |
| Side X Side Management LLC CRD: 287959 | - | 0 | 1 | A | Unknown |
| Sideline Group CRD: 337813 | - | 0 | 1 | A | Unknown |
| Sidka, LLC CRD: 323581 | - | 0 | 1 | A | Unknown |
| SIE Financial Services CRD: 134808 | - | 0 | 0 | A | Unknown |
| Siebert Capital Corp CRD: 31053 | - | 0 | 0 | A | INACTIVE |
| Siegel Asset Management Partners CRD: 310741 | - | 0 | 2 | A | Unknown |
| Siegenthaler Securities CRD: 22348 | - | 0 | 0 | A | INACTIVE |
| Siena Global Securities, LLC CRD: 156467 | CA | 0 | 2 | A | Active |
| Sierra Capital Group CRD: 114065 | - | 0 | 0 | A | Unknown |
| Sierra Financial Advisory CRD: 130934 | - | 0 | 1 | A | Unknown |
| Sierra Legacy Group CRD: 172113 | - | 0 | 2 | A | Unknown |
| Sierra Ocean, LLC CRD: 313829 | - | 0 | 1 | A | Unknown |
| Sierra Pacific Private Wealth, LLC CRD: 131738 | - | 0 | 1 | A | Unknown |