Broker-Dealer Firms
279 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 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
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 |
|---|---|---|---|---|---|
| Qatalyst Partners LP CRD: 147251 | CA | 1 | 2 | B | Active |
| Quincy Cass Associates, Incorporated CRD: 686 | CA | 6 | 2 | C | Active |
| RA Capital Advisors LLC CRD: 40992 | CA | 0 | 2 | A | Active |
| Rance King Securities Corp. CRD: 15737 | CA | 2 | 2 | B | Active |
| RBC Securities, Inc CRD: 103705 | CA | 3 | 133 | B | Active |
| RED Mountain Securities LLC CRD: 317716 | CA | 0 | 3 | A | Active |
| Reliance Capital Management Advisors LLC CRD: 131793 | CA | 0 | 3 | A | Active |
| Rincon Securities Group LLC CRD: 305718 | CA | 0 | 2 | A | Active |
| Robert Blum Municipals, Inc. CRD: 38559 | CA | 0 | 2 | A | Active |
| Robertson Stephens Capital Markets, LLC CRD: 290635 | CA | 0 | 9 | A | Active |
| Roth Capital Partners, LLC CRD: 15407 | CA | 28 | 18 | D | Active |
| S.L. Reed & Company CRD: 40744 | CA | 1 | 2 | B | Active |
| Sage Partners Securities, LLC CRD: 104381 | CA | 0 | 2 | A | Active |
| Salem Partners LLC CRD: 43363 | CA | 1 | 3 | B | Active |
| Scenic Advisement CRD: 169716 | CA | 0 | 2 | A | Active |
| Second Street Securities, Inc. CRD: 42404 | CA | 1 | 3 | B | Active |
| Securities Equity Group CRD: 47215 | CA | 0 | 2 | A | Active |
| Sequoia Equities Securities Corporation CRD: 13848 | CA | 1 | 2 | B | Active |
| Shareholders Service Group, LLC CRD: 125226 | CA | 2 | 2 | B | Active |
| Shopoff Securities, Inc. CRD: 142866 | CA | 0 | 2 | A | Active |
| Siena Global Securities, LLC CRD: 156467 | CA | 0 | 2 | A | Active |
| Signature Estate Securities, LLC CRD: 18923 | CA | 2 | 10 | B | Active |
| Sofi Securities LLC CRD: 151717 | CA | 2 | 6 | C | Active |
| Sprinklebrokerage, Inc. CRD: 285216 | CA | 1 | 2 | B | Active |
| Sprott Global Resource Investments Ltd CRD: 35878 | CA | 2 | 5 | B | Active |
| Startengine Primary LLC CRD: 291773 | CA | 0 | 2 | A | Active |
| Stax Capital CRD: 300607 | CA | 0 | 2 | A | Active |
| Stock Traders CRD: 37711 | CA | 0 | 3 | A | Active |
| Stockpile Investments, Inc. CRD: 156170 | CA | 1 | 2 | B | Active |
| Stonebridge Capital Partners LLC CRD: 328918 | CA | 0 | 2 | A | Active |
| Story3 Advisors LLC CRD: 289456 | CA | 0 | 2 | A | Active |
| Strategic Marketing Solutions Ltd., LLC CRD: 145577 | CA | 0 | 2 | A | Active |
| Sutter Securities Clearing, LLC CRD: 134742 | CA | 0 | 2 | A | Active |
| Sutter Securities Incorporated CRD: 30770 | CA | 3 | 4 | B | Active |
| Syndicated Capital, Inc. CRD: 29037 | CA | 5 | 15 | B | Active |
| Synergy Advisors, LLC CRD: 128264 | CA | 0 | 2 | A | Active |
| Taylor Grey, Inc. CRD: 308518 | CA | 0 | 3 | A | Active |
| TCFG Wealth Management, LLC CRD: 164153 | CA | 1 | 11 | B | Active |
| TCW Funds Distributors LLC CRD: 16670 | CA | 0 | 7 | A | Active |
| Telegraph Hill BD LLC CRD: 297701 | CA | 0 | 2 | A | Active |
| TFA Securities, Inc. CRD: 284982 | CA | 0 | 3 | A | Active |
| THE Courtney Group, LLC CRD: 114904 | CA | 0 | 2 | A | Active |
| THE Logan Group Securities CRD: 40259 | CA | 2 | 3 | B | Active |
| THE Spartan Group CRD: 124430 | CA | 0 | 3 | A | Active |
| Tickrs Clearing CRD: 312531 | CA | 0 | 2 | A | Active |
| Tidal Partners CRD: 323885 | CA | 0 | 4 | A | Active |
| TOP Capital Advisors, Inc. CRD: 166881 | CA | 0 | 2 | A | Active |
| Transactiondrivers LLC CRD: 35213 | CA | 0 | 2 | A | Active |
| Treasury Brokerage CRD: 140855 | CA | 0 | 2 | A | Active |
| Tree Line Capital Markets, LLC CRD: 317434 | CA | 0 | 2 | A | Active |