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 |
|---|---|---|---|---|---|
| Slocum CRD: 111795 | - | 0 | 0 | A | Unknown |
| Slow Ventures, LLC CRD: 171144 | - | 0 | 1 | A | Unknown |
| Sloy Dahl & Holst Holdings, Inc CRD: 310107 | - | 0 | 1 | A | Unknown |
| Sloy, Dahl & Holst, LLC CRD: 110102 | - | 0 | 4 | A | Unknown |
| SLP Advisory, LLC CRD: 300398 | - | 0 | 0 | A | Unknown |
| SLP Wealth CRD: 325631 | - | 0 | 16 | A | Unknown |
| SLR Financial CRD: 167652 | - | 0 | 0 | A | Unknown |
| SLS Management, LLC CRD: 159552 | - | 0 | 0 | A | Unknown |
| SLS Securities Company CRD: 13332 | - | 11 | 0 | D | INACTIVE |
| Slugh Securities Corp CRD: 33046 | - | 0 | 0 | A | INACTIVE |
| SLVC GP, LLC CRD: 308334 | - | 0 | 1 | A | Unknown |
| SLW Management Company CRD: 329215 | - | 0 | 1 | A | Unknown |
| SM Scherr Financial LLC CRD: 116348 | - | 0 | 1 | A | Unknown |
| SM Carlton Advisory CRD: 310381 | - | 0 | 2 | A | Unknown |
| SMA Capital LLC CRD: 335168 | - | 0 | 1 | A | Unknown |
| Smaart LLC CRD: 305029 | - | 0 | 1 | A | Unknown |
| Small Willow CRD: 284284 | - | 0 | 0 | A | Unknown |
| Smart Advisory Group, LLC CRD: 284545 | - | 0 | 0 | A | Unknown |
| Smart Money Group, LLC CRD: 284187 | - | 0 | 1 | A | Unknown |
| Smart Money Management CRD: 151665 | - | 0 | 0 | A | Unknown |
| Smart Society Ventures LLC CRD: 328471 | - | 0 | 1 | A | Unknown |
| Smart Stewardship Advisors CRD: 136468 | - | 0 | 1 | A | Unknown |
| Smart Street CRD: 206511 | - | 0 | 0 | A | Unknown |
| Smart Street Advisors CRD: 291572 | - | 0 | 0 | A | Unknown |
| Smart Wealth, LLC CRD: 315496 | - | 0 | 2 | A | Unknown |
| Smartcourse Advisory, LLC CRD: 334957 | - | 0 | 1 | A | Unknown |
| Smartt Wealth Solutions, LLC CRD: 171535 | - | 0 | 2 | A | Unknown |
| Smartup Management LLC CRD: 304580 | - | 0 | 0 | A | Unknown |
| Smartx Advisory Solutions CRD: 167966 | - | 0 | 0 | A | Unknown |
| Smartx Advisory Solutions CRD: 297680 | - | 0 | 2 | A | Unknown |
| Smay Investments CRD: 121788 | - | 0 | 0 | A | Unknown |
| SMB Financial Services, Inc. CRD: 154216 | - | 0 | 1 | A | Unknown |
| SMC Advisory Network, LLC CRD: 165389 | - | 0 | 0 | A | Unknown |
| SMC Financial, Inc. CRD: 37373 | - | 0 | 0 | A | INACTIVE |
| SMC Global USA Inc. CRD: 226666 | - | 0 | 0 | A | Unknown |
| SMC Securities Incorporated CRD: 6830 | - | 0 | 0 | A | INACTIVE |
| SMG Securities, Inc. CRD: 17406 | NY | 0 | 2 | A | Active |
| SMI Advisory Services, LLC CRD: 137872 | - | 0 | 2 | A | Unknown |
| SMI Securities, Inc. CRD: 17873 | - | 0 | 0 | A | INACTIVE |
| Smith & Co Advisory LLC CRD: 333042 | - | 0 | 1 | A | Unknown |
| Smith & COX, LLC CRD: 149088 | - | 0 | 0 | A | Unknown |
| Smith & Wyatt CRD: 285310 | - | 0 | 7 | A | Unknown |
| Smith Advisory CRD: 281663 | - | 0 | 1 | A | Unknown |
| Smith Bruer CRD: 284508 | - | 0 | 3 | A | Unknown |
| Smith CFP, Karyn CRD: 321738 | - | 0 | 1 | A | Unknown |
| Smith Company Financial Advisors / Fusion Funds CRD: 125488 | - | 0 | 3 | A | Unknown |
| Smith Equities,Inc. CRD: 11080 | - | 0 | 0 | A | INACTIVE |
| Smith Financial Services CRD: 130637 | - | 0 | 0 | A | Unknown |
| Smith Joel Avram CRD: 33985 | - | 0 | 0 | A | INACTIVE |
| Smith NEW Court, Inc. CRD: 10510 | - | 0 | 0 | A | INACTIVE |