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 |
|---|---|---|---|---|---|
| Sure Ventures CRD: 319104 | - | 0 | 1 | A | Unknown |
| Suretrade Inc. CRD: 43625 | - | 3 | 0 | B | INACTIVE |
| Surety Investment Services CRD: 135295 | - | 0 | 2 | A | Unknown |
| Surf Club VC, LLC CRD: 321198 | - | 0 | 1 | A | Unknown |
| Surgocap Partners LP CRD: 323078 | - | 0 | 1 | A | Unknown |
| Susan Raisman CRD: 6588 | - | 0 | 0 | A | INACTIVE |
| Susan S. LIU, Advisor CRD: 136217 | - | 0 | 0 | A | Unknown |
| Susquehanna Securities, LLC CRD: 35874 | PA | 60 | 3 | D | Active |
| Sussex Securities LLC CRD: 37594 | - | 0 | 0 | A | INACTIVE |
| Sussex Securities LLC CRD: 284189 | - | 0 | 0 | A | Unknown |
| Sussie Jordan, CFP CRD: 118289 | - | 0 | 0 | A | Unknown |
| Sutra Ventures LLC CRD: 315793 | - | 0 | 0 | A | Unknown |
| Sutter Street Securities CRD: 17723 | - | 0 | 0 | A | INACTIVE |
| Sutton Place Securities, Inc. CRD: 10031 | - | 0 | 0 | A | INACTIVE |
| Sutton Square Management L.P. CRD: 284643 | - | 0 | 0 | A | Unknown |
| Suttway Securities Corp CRD: 2348 | - | 0 | 0 | A | INACTIVE |
| Suvan Ventures LLC CRD: 324608 | - | 0 | 1 | A | Unknown |
| SV Links Angels LLC CRD: 287947 | - | 0 | 1 | A | Unknown |
| SV18 MGMT, LLC CRD: 306928 | - | 0 | 1 | A | Unknown |
| SVA Financial Services, LLC CRD: 103853 | - | 0 | 0 | A | INACTIVE |
| SVB Asset Management CRD: 124567 | - | 0 | 8 | A | Unknown |
| SVB Investment Services Inc. CRD: 168116 | - | 0 | 0 | A | INACTIVE |
| SVB Wealth CRD: 172832 | - | 0 | 75 | A | Unknown |
| Sveum Financial Services, Inc. CRD: 8111 | - | 0 | 0 | A | INACTIVE |
| SVG North America Inc. CRD: 42719 | - | 0 | 0 | A | INACTIVE |
| SVI, Inc. CRD: 8341 | - | 0 | 0 | A | INACTIVE |
| SVN Capital, LLC CRD: 297005 | - | 0 | 1 | A | Unknown |
| SVN Global CRD: 329494 | - | 0 | 0 | A | Unknown |
| Svof/MM, LLC CRD: 132205 | - | 0 | 1 | A | Unknown |
| SVP3 GP, LLC CRD: 307162 | - | 0 | 1 | A | Unknown |
| SVR Securities, Inc. CRD: 36141 | - | 0 | 0 | A | INACTIVE |
| SVS Capital Group LLC CRD: 339508 | - | 0 | 1 | A | Unknown |
| SVVY CRD: 325358 | - | 0 | 1 | A | Unknown |
| SW Financial CRD: 145012 | - | 14 | 0 | D | INACTIVE |
| SW Iteram US Advisors CRD: 332623 | - | 0 | 1 | A | Unknown |
| SW7 Asset Management (UK) LLP CRD: 281630 | - | 0 | 0 | A | Unknown |
| Swad Wealth Management LLC CRD: 319218 | - | 0 | 1 | A | Unknown |
| Swag WM CRD: 323563 | - | 0 | 0 | A | Unknown |
| Swan Capital CRD: 305793 | - | 0 | 1 | A | Unknown |
| Swan Retirement Strategies CRD: 332099 | - | 0 | 1 | A | Unknown |
| Swan Venture Group, LLC CRD: 307747 | - | 0 | 1 | A | Unknown |
| Swanson & Co., Inc. CRD: 7860 | - | 0 | 0 | A | INACTIVE |
| Swanton Securities, Inc. CRD: 5823 | - | 0 | 0 | A | INACTIVE |
| Swapnick, LLC CRD: 299071 | - | 0 | 0 | A | Unknown |
| Swapnick, LLC CRD: 316239 | - | 0 | 1 | A | Unknown |
| Swartz Advisory LLC CRD: 298154 | - | 0 | 1 | A | Unknown |
| Swedbank Securities US, LLC CRD: 141190 | - | 0 | 0 | A | INACTIVE |
| Sweerts & Vaas LLC CRD: 140507 | - | 0 | 0 | A | INACTIVE |
| Sweitzer, Joshua CRD: 107009 | - | 0 | 0 | A | INACTIVE |
| Swell Financial CRD: 317029 | - | 0 | 1 | A | Unknown |