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 |
|---|---|---|---|---|---|
| Smith Securities LLC CRD: 288886 | - | 0 | 5 | A | Unknown |
| Smith Shellnut Wilson CRD: 106235 | - | 0 | 7 | A | Unknown |
| Smith Street Capital CRD: 149161 | - | 0 | 0 | A | Unknown |
| Smith W B & Co Inc CRD: 105917 | - | 0 | 1 | A | Unknown |
| Smith Whiley & Co CRD: 107655 | - | 0 | 0 | A | Unknown |
| Smith, Blair CRD: 125134 | - | 0 | 1 | A | Unknown |
| Smith, Joel Avram CRD: 103996 | - | 0 | 0 | A | INACTIVE |
| Smith, O. Franklin CRD: 118408 | - | 0 | 0 | A | Unknown |
| Smith, Steven Allen CRD: 121216 | - | 0 | 0 | A | INACTIVE |
| Smith, Vicars of Virginia, Inc. CRD: 13197 | - | 0 | 0 | A | INACTIVE |
| Smithr Capital CRD: 340284 | - | 0 | 1 | A | Unknown |
| SMK Trading, LLC CRD: 124259 | - | 0 | 0 | A | INACTIVE |
| SML Advisory CRD: 275028 | - | 0 | 1 | A | Unknown |
| SML Capital LLC CRD: 153416 | - | 0 | 1 | A | Unknown |
| SMN Capital Partners, L.P. CRD: 234789 | - | 0 | 0 | A | Unknown |
| Smoker, Smith & Associates, PC CRD: 151555 | - | 0 | 0 | A | Unknown |
| Smolic, Svebor CRD: 119615 | - | 0 | 0 | A | INACTIVE |
| Smollen, John E. CRD: 116826 | - | 0 | 0 | A | INACTIVE |
| SMP Capital Corp CRD: 18248 | - | 0 | 0 | A | INACTIVE |
| SMQ, LLC CRD: 104001 | - | 0 | 0 | A | INACTIVE |
| SMR Capital Corp. CRD: 29103 | - | 0 | 0 | A | INACTIVE |
| SMS Capital Management CRD: 124788 | - | 0 | 0 | A | Unknown |
| SMS Financial LLC CRD: 147685 | - | 0 | 0 | A | Unknown |
| SMS Financial Services, Inc. CRD: 42419 | - | 0 | 0 | A | INACTIVE |
| SMYTH Securities, Inc. CRD: 24082 | - | 0 | 0 | A | INACTIVE |
| SNB Securities, Inc. CRD: 32320 | - | 0 | 0 | A | INACTIVE |
| SNI Financial CRD: 333621 | - | 0 | 0 | A | Unknown |
| Snider-Lund Securities, Inc. CRD: 6734 | - | 0 | 0 | A | INACTIVE |
| SNO Management, LLC CRD: 315989 | - | 0 | 1 | A | Unknown |
| Snow Park Capital Partners, LP CRD: 273041 | - | 0 | 0 | A | Unknown |
| Snow Phipps Group, LLC CRD: 158024 | - | 0 | 1 | A | Unknown |
| Snow Ventures CRD: 284254 | - | 0 | 0 | A | Unknown |
| Snowball Securities LLC CRD: 311007 | - | 0 | 0 | A | INACTIVE |
| Snowbridge Securities LLC CRD: 301996 | FL | 0 | 2 | A | Active |
| Snowcap Financial CRD: 313353 | - | 0 | 1 | A | Unknown |
| SNP Investing Inc CRD: 173837 | - | 0 | 0 | A | Unknown |
| SNR Ventures CRD: 282706 | - | 0 | 1 | A | Unknown |
| SNS Advisory Group CRD: 281339 | - | 0 | 0 | A | Unknown |
| Snyder Wealth Group CRD: 106425 | - | 0 | 5 | A | Unknown |
| Snyder, Scott a CRD: 34887 | - | 0 | 0 | A | INACTIVE |
| SO LLC CRD: 335596 | - | 0 | 2 | A | Unknown |
| Soar Financial LLC CRD: 309772 | - | 0 | 4 | A | Unknown |
| Soaring Wealth LLC CRD: 299867 | - | 0 | 1 | A | Unknown |
| Sobol, Michael J CRD: 104130 | - | 0 | 0 | A | INACTIVE |
| Sobol, Michael John CRD: 33934 | - | 0 | 0 | A | INACTIVE |
| Sobora Capital CRD: 288237 | - | 0 | 1 | A | Unknown |
| Socgen-Crosby Securities Inc. CRD: 30442 | - | 0 | 0 | A | INACTIVE |
| Socha Financial Group CRD: 108120 | - | 0 | 0 | A | Unknown |
| Social Capital CRD: 161244 | - | 0 | 0 | A | Unknown |
| Social Capital CRD: 283280 | - | 0 | 0 | A | Unknown |