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 |
|---|---|---|---|---|---|
| South Shore Investment Services LLC CRD: 311450 | - | 0 | 2 | A | Unknown |
| South Shore Securities, Inc. CRD: 16830 | - | 0 | 0 | A | INACTIVE |
| South Street Advisors, LLC CRD: 112326 | - | 0 | 1 | A | Unknown |
| South Street Securities CRD: 3357 | - | 0 | 0 | A | INACTIVE |
| South Street Securities LLC CRD: 125202 | NY | 1 | 3 | B | Active |
| Southeast Bank Brokerage Service, Inc. CRD: 14953 | - | 0 | 0 | A | INACTIVE |
| Southeast Financial Corp. CRD: 18967 | - | 0 | 0 | A | INACTIVE |
| Southeastern Securities, Inc. CRD: 35502 | - | 1 | 0 | B | INACTIVE |
| Southeastern Securities,Ltd. CRD: 14497 | - | 0 | 0 | A | INACTIVE |
| Southern Shoals Capital LLC CRD: 305070 | - | 0 | 0 | A | Unknown |
| Southern SKY Capital, LLC CRD: 296995 | - | 0 | 0 | A | Unknown |
| Southern Star Securities Corporation CRD: 19860 | - | 0 | 0 | A | INACTIVE |
| Southern States Securities Corporation CRD: 16755 | - | 0 | 0 | A | INACTIVE |
| Southland Securities, Inc. CRD: 7493 | - | 0 | 0 | A | INACTIVE |
| Southmark, Inc. CRD: 34825 | - | 2 | 0 | B | INACTIVE |
| Southport Partners L.P. CRD: 23609 | - | 0 | 0 | A | INACTIVE |
| Southport Securities, LLC CRD: 37215 | - | 1 | 0 | B | INACTIVE |
| Southside Securities, Inc. CRD: 153860 | - | 0 | 0 | A | INACTIVE |
| Southstate Advisory, Inc. CRD: 153113 | - | 0 | 0 | A | Unknown |
| Southstate Securities Corp. CRD: 6950 | TN | 10 | 16 | B | Active |
| Southtrust Securities, LLC CRD: 17922 | - | 6 | 0 | D | INACTIVE |
| Southwest Clearing Corp. CRD: 46273 | - | 1 | 0 | B | INACTIVE |
| Southwest DPM, LLC CRD: 101700 | - | 0 | 0 | A | INACTIVE |
| Souza Barros Securities, Inc CRD: 149032 | - | 2 | 0 | B | INACTIVE |
| Sovereign Private Equity Management, LLC CRD: 130097 | - | 0 | 0 | A | Unknown |
| Sovereign Securities Corp. CRD: 14015 | - | 0 | 0 | A | INACTIVE |
| Sovereign Solutions LLC CRD: 174313 | - | 0 | 0 | A | Unknown |
| Sovran Securities, Inc. CRD: 13506 | - | 0 | 0 | A | INACTIVE |
| Sovran Securities, Inc. CRD: 31185 | - | 0 | 0 | A | INACTIVE |
| Sowa Financial Group CRD: 107646 | - | 0 | 1 | A | Unknown |
| Sowell Management CRD: 127145 | - | 0 | 103 | A | Unknown |
| Sozo Ventures CRD: 288073 | - | 0 | 1 | A | Unknown |
| SP Capital Fund C, LLC CRD: 301958 | - | 0 | 0 | A | Unknown |
| SP Partners CRD: 161483 | - | 0 | 0 | A | Unknown |
| SP Securities LLC CRD: 130560 | TX | 1 | 2 | B | Active |
| SP Ventures CRD: 334712 | - | 0 | 0 | A | Unknown |
| SP Wealth Planning CRD: 323658 | - | 0 | 1 | A | Unknown |
| SP8Cevc CRD: 311174 | - | 0 | 1 | A | Unknown |
| Space Capital CRD: 287867 | - | 0 | 1 | A | Unknown |
| Space Summit Capital LLC CRD: 312613 | - | 0 | 1 | A | Unknown |
| Spacefund, Inc. CRD: 315322 | - | 0 | 1 | A | Unknown |
| Spalding, Steven CRD: 317060 | - | 0 | 2 | A | Unknown |
| Spano Advisory Services Inc. CRD: 113588 | - | 0 | 1 | A | Unknown |
| Spari, Inc. CRD: 226780 | - | 0 | 0 | A | Unknown |
| Spark Capital CRD: 161231 | - | 0 | 1 | A | Unknown |
| Spark Change Securities LLC CRD: 309292 | WA | 0 | 2 | A | Active |
| Sparklabs Management CRD: 330130 | - | 0 | 1 | A | Unknown |
| Sparks Investments CRD: 310233 | - | 0 | 0 | A | Unknown |
| Sparrows Financial CRD: 336444 | - | 0 | 1 | A | Unknown |
| Spartan Partners L.P. CRD: 43352 | - | 0 | 0 | A | INACTIVE |