South Carolina
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| LPL FINANCIAL LLC | 284 | 1 | F | Active |
| LPL ENTERPRISE, LLC | 3 | 1 | F | Active |
| PALMETTO ADVISORY GROUP, LLC | 0 | 1 | A | Active |
| POLARIS PRIVATE PLACEMENTS, LLC | 0 | 1 | A | Active |
| TRC MARKETS LLC | 0 | 1 | A | Active |
Inside South Carolina's Broker-Dealer Landscape
South Carolina is home to 5 broker-dealer firms in FINRA's public register, of which 5 (100.0%) are currently marked ACTIVE. Those firms employ 5 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 287 disclosures on BrokerCheck, averaging 57.4 per firm. Grade distribution across South Carolina's broker-dealers: 3 graded A, 0 graded B, 0 graded C, 0 graded D, and 2 graded F. That means 60.0% of graded firms hold an A and 40.0% fall into the D or F bands.
Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations — large multistate firms headquartered in South Carolina will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any South Carolina advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
Related
