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 |
|---|---|---|---|---|---|
| Sweven Wealth CRD: 298524 | - | 0 | 0 | A | Unknown |
| SWH Securities, Inc. CRD: 41426 | - | 1 | 0 | B | INACTIVE |
| Swift Capital Partners (E.E.) CRD: 159454 | - | 0 | 0 | A | Unknown |
| Swift Creek Partners CRD: 329614 | - | 0 | 1 | A | Unknown |
| Swift Ventures CRD: 312847 | - | 0 | 1 | A | Unknown |
| Swift, Henke & Co., Inc. CRD: 803 | - | 0 | 0 | A | INACTIVE |
| Swiftsure Securities LLC CRD: 139965 | - | 0 | 0 | A | INACTIVE |
| Swiss Select Advisors, LLC CRD: 151914 | - | 0 | 0 | A | Unknown |
| Swiss Usadvisors CRD: 158706 | - | 0 | 0 | A | Unknown |
| Swisskey Fund Services, Inc. CRD: 27867 | - | 0 | 0 | A | INACTIVE |
| Swissus Investment Corporation CRD: 18302 | - | 0 | 0 | A | INACTIVE |
| Swla Securities Corp. CRD: 3543 | - | 0 | 0 | A | INACTIVE |
| SWM Securities, Inc. CRD: 38637 | - | 0 | 0 | A | INACTIVE |
| SWMF Life Science Fund GP, LLC CRD: 162086 | - | 0 | 0 | A | Unknown |
| SWMG Holdings, LLC CRD: 285713 | - | 0 | 1 | A | Unknown |
| SWMG, LLC CRD: 166688 | - | 0 | 3 | A | Unknown |
| Sword and Shield Solutions LLC CRD: 333123 | - | 0 | 1 | A | Unknown |
| SWR Securities, Inc. CRD: 15254 | - | 0 | 0 | A | INACTIVE |
| SWS Advisory Services CRD: 292294 | - | 0 | 0 | A | Unknown |
| SWS Partners, LLC CRD: 281838 | - | 0 | 2 | A | Unknown |
| SWVP Fund XIV GP, LLC CRD: 310454 | - | 0 | 1 | A | Unknown |
| SWVP Fund XIX GP LLC CRD: 292772 | - | 0 | 0 | A | Unknown |
| SWVP Fund XV GP, LLC CRD: 294633 | - | 0 | 0 | A | Unknown |
| SWVP Fund XVI GP, LLC CRD: 294638 | - | 0 | 0 | A | Unknown |
| SWVP Fund Xvii GP, LLC CRD: 294640 | - | 0 | 0 | A | Unknown |
| SWVP Fund Xviii GP LLC CRD: 288354 | - | 0 | 0 | A | Unknown |
| SWVP Fund XX GP LLC CRD: 305423 | - | 0 | 1 | A | Unknown |
| SWVP Fund XXI GP LLC CRD: 309968 | - | 0 | 1 | A | Unknown |
| SWVP Fund Xxii GP LLC CRD: 321848 | - | 0 | 1 | A | Unknown |
| SWVP Fund Xxiii GP LLC CRD: 324682 | - | 0 | 1 | A | Unknown |
| SY Jacobs CFP LLC CRD: 289767 | - | 0 | 0 | A | Unknown |
| Sybedon Equities Corp CRD: 11359 | - | 0 | 0 | A | INACTIVE |
| Sycamore Ventures CRD: 159683 | - | 0 | 0 | A | Unknown |
| Sycamore Partners CRD: 161050 | - | 0 | 0 | A | Unknown |
| Sycamore Partners CRD: 284346 | - | 0 | 1 | A | Unknown |
| Sycomore Financial CRD: 287543 | - | 0 | 1 | A | Unknown |
| Sydan CRD: 32051 | - | 2 | 0 | B | INACTIVE |
| Sydney Quantitative PTY Ltd. CRD: 335244 | - | 0 | 0 | A | Unknown |
| Sygnus Capital SL Limited CRD: 333426 | - | 0 | 0 | A | Unknown |
| Sygnus Wealth PR LLC CRD: 325576 | - | 0 | 1 | A | Unknown |
| Sykes Financial Services CRD: 155354 | - | 0 | 1 | A | Unknown |
| Sylvan Gustin CRD: 313357 | - | 0 | 0 | A | Unknown |
| Sylvan Securities, Inc. CRD: 16258 | - | 0 | 0 | A | INACTIVE |
| Sylvester, Edward J JR. CRD: 34266 | - | 0 | 0 | A | INACTIVE |
| Symetra Securities, Inc. CRD: 739 | WA | 3 | 3 | C | Active |
| Symington Financial Corp. CRD: 19852 | - | 0 | 0 | A | INACTIVE |
| Symmetry Investments UK LLP CRD: 171476 | - | 0 | 0 | A | Unknown |
| Symmetry Investments US LLC CRD: 317755 | - | 0 | 1 | A | Unknown |
| Symmetry Partners CRD: 120982 | - | 0 | 12 | A | Unknown |
| Symon Group, Ltd. CRD: 7355 | - | 0 | 0 | A | INACTIVE |