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 |
|---|---|---|---|---|---|
| THE Rikoon Group, LLC CRD: 131435 | - | 0 | 0 | A | Unknown |
| THE Riverview Corporation CRD: 25260 | - | 0 | 0 | A | INACTIVE |
| THE Robins Group LLC CRD: 41894 | - | 1 | 0 | B | INACTIVE |
| THE Rockford Group, Inc. CRD: 25185 | - | 0 | 0 | A | INACTIVE |
| THE Roda Group Clean Tech Management, LLC CRD: 162243 | - | 0 | 1 | A | Unknown |
| THE Rosenthal Group CRD: 131682 | - | 0 | 0 | A | Unknown |
| THE Roxborough Group CRD: 310949 | - | 0 | 1 | A | Unknown |
| THE S.F. Trading Group, L.L.C CRD: 42376 | - | 0 | 0 | A | INACTIVE |
| THE Salient Zarvona Energy Fund GP, L.P. CRD: 162712 | - | 0 | 2 | A | Unknown |
| THE Salvetti Group CRD: 324974 | - | 0 | 3 | A | Unknown |
| THE Sand Hill Corporation CRD: 6294 | - | 0 | 0 | A | INACTIVE |
| THE Saratoga Group CRD: 22219 | - | 0 | 0 | A | INACTIVE |
| THE Saxon Group, Inc. CRD: 17611 | - | 0 | 0 | A | INACTIVE |
| THE Schroedl Group CRD: 14572 | - | 0 | 0 | A | INACTIVE |
| THE Scott S. James Company CRD: 105861 | - | 0 | 1 | A | Unknown |
| THE SEB Group, Inc. CRD: 134156 | - | 0 | 1 | A | Unknown |
| THE Shattan Group LLC CRD: 41331 | - | 1 | 0 | B | INACTIVE |
| THE Shemano Group, Inc. CRD: 35528 | - | 9 | 0 | D | INACTIVE |
| THE Sherrington Group CRD: 119864 | - | 0 | 2 | A | Unknown |
| THE Sherry Group, Inc. CRD: 146271 | - | 0 | 2 | A | Unknown |
| THE Sherwin Group CRD: 165093 | - | 0 | 2 | A | Unknown |
| THE Source CRD: 126066 | - | 0 | 0 | A | Unknown |
| THE Sova Group, LLC CRD: 283412 | - | 0 | 0 | A | Unknown |
| THE Spartan Group CRD: 124430 | CA | 0 | 3 | A | Active |
| THE Stalder Group CRD: 293297 | - | 0 | 1 | A | Unknown |
| THE Stalwart Group LLC CRD: 170578 | - | 0 | 0 | A | Unknown |
| THE Sterling Group CRD: 111782 | - | 0 | 2 | A | Unknown |
| THE Sterling Group, L.P. CRD: 157406 | - | 0 | 1 | A | Unknown |
| THE Stewardship Solution CRD: 282050 | - | 0 | 1 | A | Unknown |
| THE Storey Corporation CRD: 20876 | - | 0 | 0 | A | INACTIVE |
| THE Street, Inc. CRD: 120682 | - | 1 | 0 | B | INACTIVE |
| THE Sullivan Group CRD: 150705 | - | 0 | 4 | A | Unknown |
| THE SUM CRD: 297658 | - | 0 | 1 | A | Unknown |
| THE Summit Group CRD: 173130 | - | 0 | 1 | A | Unknown |
| THE Sunnoor Corporation CRD: 45773 | - | 2 | 0 | B | INACTIVE |
| THE Table Financial Planning LLC CRD: 291812 | - | 0 | 2 | A | Unknown |
| THE Taggart Company Ltd. CRD: 10636 | - | 2 | 0 | B | INACTIVE |
| THE Tavenner Company CRD: 18004 | OH | 0 | 6 | A | Active |
| THE Telge Companies CRD: 116800 | - | 0 | 0 | A | Unknown |
| THE Tempest Financial Group PLLC CRD: 312592 | - | 0 | 1 | A | Unknown |
| THE Tenret Company, LLC CRD: 298570 | - | 0 | 2 | A | Unknown |
| THE Terrio Group CRD: 156394 | - | 0 | 0 | A | Unknown |
| THE Thermopylae Group, Inc. CRD: 3059 | - | 9 | 0 | D | INACTIVE |
| THE Third Friday Group, LLC CRD: 165840 | - | 0 | 0 | A | Unknown |
| THE Third Market Corp. CRD: 30181 | - | 5 | 0 | C | INACTIVE |
| THE Thom Group CRD: 122968 | - | 0 | 0 | A | Unknown |
| THE Thompson Group, Inc. CRD: 21812 | - | 2 | 0 | B | INACTIVE |
| THE Thornwater Company, L.P. CRD: 36195 | - | 18 | 0 | F | INACTIVE |
| THE Tiberius Fund L.L.C. CRD: 42534 | - | 0 | 0 | A | INACTIVE |
| THE Tiberius Master Fund Ltd. CRD: 107026 | - | 0 | 0 | A | INACTIVE |