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 |
|---|---|---|---|---|---|
| Somerset Securities, Inc. CRD: 2493 | OR | 2 | 3 | B | Active |
| Sona Asset Management (UK) LLP CRD: 300668 | - | 0 | 0 | A | Unknown |
| Sona Asset Management (US) LLC CRD: 291738 | - | 0 | 1 | A | Unknown |
| Sona Financial LLC CRD: 285333 | - | 0 | 0 | A | Unknown |
| Sona Wealth, Sona Wealth Management, Sona Wealth A… CRD: 281976 | - | 0 | 1 | A | Unknown |
| Sonamu Group LP CRD: 324293 | - | 0 | 1 | A | Unknown |
| Sonar Wealth, LLC CRD: 332945 | - | 0 | 0 | A | Unknown |
| Sonder Partners CRD: 312374 | - | 0 | 3 | A | Unknown |
| Sonder Partners, LLC CRD: 336828 | - | 0 | 1 | A | Unknown |
| Sondo FI CRD: 327908 | - | 0 | 1 | A | Unknown |
| Sondra C. Rabin CRD: 104006 | - | 0 | 0 | A | INACTIVE |
| Sonic GP LLC CRD: 322801 | - | 0 | 1 | A | Unknown |
| Sonica Capital CRD: 163702 | - | 0 | 0 | A | Unknown |
| Sonnet, LLC CRD: 282882 | - | 0 | 1 | A | Unknown |
| Sontag Securities LLC CRD: 127857 | - | 0 | 0 | A | INACTIVE |
| Sony Ventures Corporation CRD: 321945 | - | 0 | 0 | A | Unknown |
| SOO Financial L.L.C. CRD: 129361 | - | 0 | 1 | A | Unknown |
| Sooner Sight LLC CRD: 147394 | - | 0 | 0 | A | INACTIVE |
| Sootchy Securities, LLC CRD: 307621 | - | 0 | 1 | A | Unknown |
| Sophis Investments LLC CRD: 170391 | - | 0 | 6 | A | Unknown |
| Sora Wealth, LLC CRD: 313208 | - | 0 | 1 | A | Unknown |
| Sorenson Impact Advisory CRD: 324124 | - | 0 | 1 | A | Unknown |
| Sorenson Investments CRD: 144399 | - | 0 | 0 | A | Unknown |
| Sorfis Investments, LLC CRD: 300363 | - | 0 | 2 | A | Unknown |
| Sorsby Financial Corp. CRD: 39437 | FL | 0 | 5 | A | Active |
| Sort Securities, LLC. CRD: 44326 | - | 4 | 0 | C | INACTIVE |
| Sorum Financial CRD: 123744 | - | 0 | 0 | A | Unknown |
| Sosnoff, TOM CRD: 34779 | - | 1 | 0 | B | INACTIVE |
| Sound & Secure Advisors LLC CRD: 322514 | - | 0 | 1 | A | Unknown |
| Sound Advisory Services Inc. CRD: 143842 | - | 0 | 2 | A | Unknown |
| Sound Capital CRD: 300582 | - | 0 | 1 | A | Unknown |
| Sound Capital Solutions LLC CRD: 311034 | - | 0 | 1 | A | Unknown |
| Sound Income Strategies, LLC CRD: 173272 | - | 0 | 213 | A | Unknown |
| Sound Investments Inc. CRD: 117501 | - | 0 | 2 | A | Unknown |
| Sound Money Management, Inc. CRD: 154752 | - | 0 | 1 | A | Unknown |
| Sound Point Luna LLC CRD: 128132 | - | 0 | 1 | A | Unknown |
| Sound Securities, LLC CRD: 122677 | - | 0 | 0 | A | INACTIVE |
| Sound Shore Management Inc CRD: 112379 | - | 0 | 2 | A | Unknown |
| Sound Stewardship, LLC CRD: 129755 | - | 0 | 2 | A | Unknown |
| Sound Wealth LLC CRD: 329237 | - | 0 | 1 | A | Unknown |
| Soundpost Advisory CRD: 306215 | - | 0 | 2 | A | Unknown |
| Source Capital CRD: 160698 | - | 0 | 0 | A | Unknown |
| Source Capital CRD: 160713 | - | 0 | 0 | A | Unknown |
| Source Investments, Inc. CRD: 8459 | - | 0 | 0 | A | INACTIVE |
| Source Securities, Inc. CRD: 8026 | - | 0 | 0 | A | INACTIVE |
| Sourcerock Group LLC CRD: 307575 | - | 0 | 1 | A | Unknown |
| Sousa Financial CRD: 127785 | - | 0 | 2 | A | Unknown |
| South Beach Securities, Inc. CRD: 15130 | - | 0 | 0 | A | INACTIVE |
| South Central Securities, Inc. CRD: 10193 | - | 0 | 0 | A | INACTIVE |
| South Fork Securities CRD: 311469 | - | 0 | 0 | A | INACTIVE |