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 |
|---|---|---|---|---|---|
| Social Capital CRD: 304525 | - | 0 | 0 | A | Unknown |
| Social Capital Partner's Inc. CRD: 46898 | - | 0 | 0 | A | INACTIVE |
| Social Impact Investments Inc. CRD: 297095 | - | 0 | 1 | A | Unknown |
| Society Investments, Inc. CRD: 17656 | - | 0 | 0 | A | INACTIVE |
| Socio-Economico CRD: 333104 | - | 0 | 1 | A | Unknown |
| Soco Securities Company, Inc. CRD: 10561 | - | 0 | 0 | A | INACTIVE |
| Socorro Ventures CRD: 325149 | - | 0 | 1 | A | Unknown |
| Socotra Management, Inc. CRD: 328954 | - | 0 | 1 | A | Unknown |
| Socrates CRD: 316464 | - | 0 | 0 | A | Unknown |
| Socratic Ventures CRD: 321626 | - | 0 | 1 | A | Unknown |
| Soesbe Financial CRD: 307384 | - | 0 | 1 | A | Unknown |
| SOF Management, LLC CRD: 138787 | - | 0 | 0 | A | Unknown |
| SOF Securities, L.L.C. CRD: 43915 | - | 0 | 0 | A | INACTIVE |
| Sofi Securities LLC CRD: 151717 | CA | 2 | 6 | C | Active |
| Sofi Wealth LLC CRD: 167958 | - | 0 | 112 | A | Unknown |
| Sofinnova Partners CRD: 164104 | - | 0 | 0 | A | Unknown |
| Softbank, Inc. CRD: 163118 | - | 0 | 1 | A | Unknown |
| Softtech VC Inc. CRD: 160391 | - | 0 | 1 | A | Unknown |
| Sogotrade, Inc. CRD: 17912 | MO | 9 | 4 | C | Active |
| Soho Financial Services LLC CRD: 142510 | - | 0 | 2 | A | Unknown |
| Soho Square Capital LLP CRD: 304770 | - | 0 | 0 | A | Unknown |
| SOL Financial CRD: 333387 | - | 0 | 1 | A | Unknown |
| SOL Trading, L.P. CRD: 131366 | - | 1 | 0 | B | INACTIVE |
| Solace Capital Partners, L.P. CRD: 175319 | - | 0 | 1 | A | Unknown |
| Solaria Management LP CRD: 325252 | - | 0 | 0 | A | Unknown |
| Solaris Management CRD: 314401 | - | 0 | 0 | A | Unknown |
| Solaris Securities, Inc. CRD: 31998 | - | 4 | 0 | C | INACTIVE |
| Solaris Strategic Wealth CRD: 339657 | - | 0 | 4 | A | Unknown |
| Solas Wealth CRD: 313465 | - | 0 | 0 | A | Unknown |
| Sole Shipping SO GP II Limited CRD: 296920 | - | 0 | 0 | A | Unknown |
| Sole Shipping SO GP III Limited CRD: 306197 | - | 0 | 0 | A | Unknown |
| Sole Source Capital LLC CRD: 290032 | - | 0 | 1 | A | Unknown |
| Solel Partners LP CRD: 305424 | - | 0 | 1 | A | Unknown |
| Soler Investments CRD: 118312 | - | 0 | 0 | A | Unknown |
| Solera Capital CRD: 160330 | - | 0 | 0 | A | Unknown |
| Solid OAK Advisory CRD: 300575 | - | 0 | 1 | A | Unknown |
| Solist Financial CRD: 329317 | - | 0 | 1 | A | Unknown |
| Solo Capital Strategies CRD: 318236 | - | 0 | 0 | A | Unknown |
| Soloman Hill I LLC CRD: 282237 | - | 0 | 1 | A | Unknown |
| Solomon and Associates LLC CRD: 311975 | - | 0 | 3 | A | Unknown |
| Solon Financial Services, L.P. CRD: 36966 | - | 0 | 0 | A | INACTIVE |
| Solum Partners CRD: 310213 | - | 0 | 1 | A | Unknown |
| Solutions 4 Wealth CRD: 143248 | - | 0 | 3 | A | Unknown |
| Solutions First Financial Group CRD: 316394 | - | 0 | 0 | A | Unknown |
| Solyco Wealth LLC CRD: 314981 | - | 0 | 5 | A | Unknown |
| Soma Partners, LLC CRD: 47744 | - | 0 | 0 | A | INACTIVE |
| Soma Ventures, LP CRD: 311804 | - | 0 | 1 | A | Unknown |
| Somerset Capital Corp. CRD: 23680 | - | 0 | 0 | A | INACTIVE |
| Somerset Cpas, P.C. CRD: 112848 | - | 0 | 0 | A | Unknown |
| Somerset Group LLC CRD: 160282 | - | 0 | 2 | A | Unknown |