State BrokerCheck inventory · July 2026

South Carolina broker-dealer grades

According to FINRA BrokerCheck as of July 2026, South Carolina ranks #31 of 56 by registered-firm inventory (15) and #11 of 56 by aggregate disclosure load (295), then #2 of 33 on disclosures-per-firm and #10 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#31
of 56 by firm inventory
15
registered firms
295
disclosures on file
19.7
avg disclosures / firm

South Carolina at a glance

According to FINRA BrokerCheck as of July 2026, South Carolina ranks #31 of 56 by registered-firm inventory (15) and #11 of 56 by aggregate disclosure load (295), then #2 of 33 on disclosures-per-firm and #10 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#31 of 56
registered-firm inventory
#11 of 56
aggregate disclosure load
#2 of 33
disclosures per firm (≥10 firms)
#10 of 33
Grade-A share (≥10 firms)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Where South Carolina sits by disclosures per firm

COUNT-derived placement among 33 states and territories with at least 10 graded firms. Lower intensity is cleaner for residents; large multistate HQs can lift a state's average without describing every local office.

South Carolina vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

20 Among the lightest loads a lower disclosures-per-firm load than 94% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). Below this entry. 4–6: 8 floor-qualified states (24%). Below this entry. 6–8: 1 floor-qualified states (3%). Below this entry. 8–10: 1 floor-qualified states (3%). Below this entry. 10–12: 0 floor-qualified states (0%). Below this entry. 12–14: 2 floor-qualified states (6%). Below this entry. 14–16: 0 floor-qualified states (0%). Below this entry. 16–18: 0 floor-qualified states (0%). Below this entry. 18–20: 1 floor-qualified states (3%). This entry sits in this band. 20–22: 0 floor-qualified states (0%). Above this entry. 22–24: 0 floor-qualified states (0%). Above this entry. 24–26: 0 floor-qualified states (0%). Above this entry. 26–28: 0 floor-qualified states (0%). Above this entry. 28–30: 0 floor-qualified states (0%). Above this entry. 30–32: 0 floor-qualified states (0%). Above this entry. 32–34: 0 floor-qualified states (0%). Above this entry. 34–36: 1 floor-qualified states (3%). Above this entry. South Carolina 0 36 every state with ≥10 graded firms, bucketed by value

Each bar is a band; taller bars hold more floor-qualified states. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · July 2026

Firm-size mix among 15 graded firms

FINRA BrokerCheck size classes in South Carolina. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

15
Registered Firms
10
Clean Record (Grade A)
295
Total Disclosures
19.7
Avg Disclosures / Firm

Grade Distribution

How South Carolina's 15 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (10)10 firmsB, low (5)5 firmsC, typical (0)0 firmsD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 15 graded firms headquartered in South Carolina

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1LPL Financial LLCFort Mill28932,976B
2LPL Enterprise, LLCFort Mill31,487B
3Global OAK Capital Markets LLCCharleston12B
4Partnercap Securities, LLCBluffton12B
5Sequence Financial Specialists LLCFlorence14B
6Ballast Rock Capital LLCCharleston02A
7Charles Towne Securities, LLCCharleston02A
8Dragonfly Capital Partners, LLCMt Pleasant03A
9Global Alliance Securities LLCCharleston (Mt. Pleasant)02A
10Hollister Associates, LLCMount Pleasant019A
11Palmetto Advisory Group, LLCCharleston02A
12Poinsett Securities, LLCGreenville02A
13Polaris Private Placements, LLCMt. Pleasant02A
14Tower Principal Markets LLCMount Pleasant05A
15TRC Markets LLCMount Pleasant03A

Elevated disclosures per firm

South Carolina's heavier disclosure load

South Carolina ranks #2 of 33 on disclosures-per-firm (19.7) among ≥10-firm states.

South Carolina's aggregate BrokerCheck book ranks #11 of 56 (295 disclosures) - heavier third on the /states load board. Grade-A share is 66.7% (10 of 15 graded) - cleaner third among floor-qualified states; D/F share is 0.0%. Heaviest raw book in-state: LPL Financial LLC (289 disclosures across 32,976 offices).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - large multistate HQs in South Carolina can lift statewide totals without describing every local office. This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does South Carolina sit among states by BrokerCheck disclosure load?
South Carolina is in the heavier third by aggregate disclosure load (#11 of 56, 295 events) while inventory ranks #31 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in South Carolina?
South Carolina has 15 actively registered broker-dealer firms on FINRA BrokerCheck, of which 10 (66.7%) hold a clean Grade-A record with no reportable disclosures.
Which South Carolina broker-dealer has the most FINRA disclosures?
LPL Financial LLC leads South Carolina's listing with 289 BrokerCheck disclosures across 32,976 offices (Grade B). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read South Carolina's safety grades?
On South Carolina's heavier-load board, grades stay size-normalized (weighted disclosures ÷ branch footprint within size class). Zero-disclosure firms earn A. Editorial signals only - not FINRA ratings; see methodology.
Is this official South Carolina broker data?
Yes. South Carolina's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.
All South Carolina Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for South Carolina. South Carolina ranks #31 by firm inventory and #11 by disclosure load in the PlainAdvisorCheck extract as of July 2026.