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 |
|---|---|---|---|---|---|
| Spartan Syndications, Inc. CRD: 13845 | - | 0 | 0 | A | INACTIVE |
| Sparx Securities, USA, LLC CRD: 132501 | - | 0 | 0 | A | INACTIVE |
| Spaulding Securities, Inc. CRD: 15897 | - | 0 | 0 | A | INACTIVE |
| SPC CRD: 110692 | - | 0 | 475 | A | Unknown |
| SPC Financial Inc CRD: 104618 | - | 0 | 0 | A | Unknown |
| SPD Group LLP CRD: 170376 | - | 0 | 0 | A | Unknown |
| Spear Insurance Services, Inc. CRD: 5941 | - | 0 | 0 | A | INACTIVE |
| Specialised Research (UK) CRD: 331937 | - | 0 | 0 | A | Unknown |
| Specialty Securities, Inc. CRD: 16422 | - | 0 | 0 | A | INACTIVE |
| Spectrum AC Advisors, LLC CRD: 298849 | - | 0 | 1 | A | Unknown |
| Spectrum Advisory Group LLC CRD: 326932 | - | 0 | 1 | A | Unknown |
| Spectrum Equity CRD: 160619 | - | 0 | 1 | A | Unknown |
| Spectrum Financial Alliance, Ltd., L.L.C. CRD: 125147 | - | 0 | 2 | A | Unknown |
| Spectrum Money Management, Inc. CRD: 126556 | - | 0 | 0 | A | Unknown |
| Spectrum Securities, Inc. CRD: 29305 | - | 0 | 0 | A | INACTIVE |
| Spectrum Strategies, L.L.C. CRD: 115318 | - | 0 | 3 | A | Unknown |
| Spectrum Trading Partners L.P. CRD: 25143 | - | 0 | 0 | A | INACTIVE |
| Speedup CRD: 314119 | - | 0 | 0 | A | Unknown |
| Speiro Investments, LLC CRD: 171407 | - | 0 | 1 | A | Unknown |
| Spelman & Co., Inc. CRD: 10232 | - | 11 | 0 | D | INACTIVE |
| Spencer International Investments, Inc. CRD: 34194 | - | 0 | 0 | A | INACTIVE |
| Spencer Trask & Co. CRD: 165188 | - | 0 | 1 | A | Unknown |
| Spencer, David Hill CRD: 34561 | - | 0 | 0 | A | INACTIVE |
| Spencer, Swain & Co., Inc. CRD: 3474 | - | 0 | 0 | A | INACTIVE |
| Sperry Young Financial Services, Inc. CRD: 13296 | - | 0 | 0 | A | INACTIVE |
| SPF Inc CRD: 106046 | - | 0 | 0 | A | Unknown |
| SPF, Inc CRD: 166840 | - | 0 | 0 | A | Unknown |
| Sphera Healthcare US Inc. CRD: 310325 | - | 0 | 0 | A | Unknown |
| Sphere Strategies LLC CRD: 284641 | - | 0 | 0 | A | Unknown |
| Sphere, LLC CRD: 174488 | - | 0 | 0 | A | Unknown |
| Sphinx Investments LLC CRD: 327836 | - | 0 | 2 | A | Unknown |
| SPHL Trading L.L.C. CRD: 126364 | - | 0 | 0 | A | INACTIVE |
| SPI Strategies, LLC CRD: 130295 | - | 0 | 0 | A | Unknown |
| Spicer Capital CRD: 312505 | - | 0 | 1 | A | Unknown |
| Spider Capital CRD: 282546 | - | 0 | 1 | A | Unknown |
| Spiegel Partners CRD: 171969 | - | 0 | 0 | A | Unknown |
| Spiering & Co., Inc. CRD: 30060 | - | 0 | 0 | A | INACTIVE |
| Spike Financial Services, LLC CRD: 112193 | - | 2 | 0 | B | INACTIVE |
| Spin Trading LLC CRD: 104191 | - | 0 | 0 | A | INACTIVE |
| Spire Asset Management, LLC. CRD: 119494 | - | 0 | 0 | A | Unknown |
| Spire Atlas Studio, LLC CRD: 339462 | - | 0 | 0 | A | Unknown |
| Spire Fund Advisory LLC CRD: 304905 | - | 0 | 1 | A | Unknown |
| Spire Securities, LLC CRD: 144131 | VA | 3 | 16 | B | Active |
| Spires Financial, L.P. CRD: 38209 | - | 2 | 0 | B | INACTIVE |
| Spirit Capital CRD: 130688 | - | 0 | 0 | A | Unknown |
| Spirit Partners, L.P. CRD: 36697 | - | 0 | 0 | A | INACTIVE |
| SPO Partners & Co. CRD: 157279 | - | 0 | 0 | A | Unknown |
| Sponsors Securities Corp. CRD: 22717 | - | 0 | 0 | A | INACTIVE |
| Spoor Behrins Campbell & Young Securities Corp CRD: 107400 | - | 0 | 0 | A | Unknown |
| Spoor, T. Richard CRD: 146486 | - | 0 | 0 | A | Unknown |