Tennessee
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| CARTY, HARDING & HEARN, INC. | 20 | 1 | F | Active |
| SOUTHSTATE SECURITIES CORP. | 10 | 1 | F | Active |
| &PARTNERS | 9 | 1 | F | Active |
| FHN FINANCIAL SECURITIES CORP. | 8 | 1 | F | Active |
| SILVER OAK SECURITIES, INCORPORATED | 6 | 1 | F | Active |
| TRUSTFIRST | 3 | 1 | F | Active |
| ST INVEST LLC | 2 | 1 | F | Active |
| ALTO SECURITIES, LLC | 0 | 1 | A | Active |
| CREEKSTONE CAPITAL | 0 | 1 | A | Active |
| CW SECURITIES, LLC | 0 | 1 | A | Active |
| DCF, LLC | 0 | 1 | A | Active |
| GPWA, LLC | 0 | 1 | A | Active |
| ICA, LLC | 0 | 1 | A | Active |
| OM PARTNERS, LLC | 0 | 1 | A | Active |
| SANDERLIN SECURITIES, LLC | 0 | 1 | A | Active |
Inside Tennessee's Broker-Dealer Landscape
Tennessee is home to 15 broker-dealer firms in FINRA's public register, of which 15 (100.0%) are currently marked ACTIVE. Those firms employ 15 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 58 disclosures on BrokerCheck, averaging 3.9 per firm. Grade distribution across Tennessee's broker-dealers: 8 graded A, 0 graded B, 0 graded C, 0 graded D, and 7 graded F. That means 53.3% of graded firms hold an A and 46.7% 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 Tennessee 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 Tennessee 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.
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