Broker-Dealer Firms
80,028 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 |
|---|---|---|---|---|---|
| THE Carson Medlin Company CRD: 28567 | - | 1 | 0 | B | INACTIVE |
| THE Catalyst Capital Group Inc. CRD: 155299 | - | 0 | 0 | - | Unknown |
| THE Catalyst Group, Inc. CRD: 333740 | - | 0 | 1 | - | Unknown |
| THE Catamount Group, LLC CRD: 146734 | - | 0 | 0 | A | INACTIVE |
| THE Cavanaugh Group Inc CRD: 105931 | - | 0 | 3 | - | Unknown |
| THE Center for Eldercare Finance CRD: 169964 | - | 0 | 0 | - | Unknown |
| THE Centurion Group, LLC CRD: 155430 | - | 0 | 0 | - | Unknown |
| THE Ceos' Fund Management LLC CRD: 334555 | - | 0 | 1 | - | Unknown |
| THE Certior Group, LLC CRD: 285506 | - | 0 | 0 | - | Unknown |
| THE Chadwick Group, Inc. CRD: 297319 | - | 0 | 0 | - | Unknown |
| THE Champion Group, Inc. CRD: 23418 | TX | 0 | 2 | A | Active |
| THE Change Advisory Group, LLC CRD: 155409 | - | 0 | 1 | - | Unknown |
| THE Chapman Co. CRD: 19178 | - | 10 | 0 | D | INACTIVE |
| THE Charles Towne Agency CRD: 331489 | - | 0 | 1 | - | Unknown |
| THE Chart Group, L.P. CRD: 162884 | - | 0 | 0 | - | Unknown |
| THE Charter Group CRD: 13772 | - | 0 | 0 | A | INACTIVE |
| THE Chartist CRD: 105072 | - | 0 | 1 | - | Unknown |
| THE Chicago Corporation CRD: 1449 | - | 0 | 0 | A | INACTIVE |
| THE Chicago Dearborn Company CRD: 31192 | - | 0 | 0 | A | INACTIVE |
| THE Chimera Group, LLC CRD: 116236 | - | 0 | 0 | A | INACTIVE |
| THE Churchill Company CRD: 15909 | - | 0 | 0 | A | INACTIVE |
| THE CID Group Ltd. CRD: 163717 | - | 0 | 0 | - | Unknown |
| THE Circumference Group LLC CRD: 159012 | - | 0 | 1 | - | Unknown |
| THE CIT Group/Capital Investments, Inc. CRD: 24735 | - | 0 | 0 | A | INACTIVE |
| THE Citadel Funding Corporation CRD: 29585 | - | 0 | 0 | A | INACTIVE |
| THE Clarion Securities Group Incorporated CRD: 14185 | - | 0 | 0 | A | INACTIVE |
| THE Clarius Group, LLC CRD: 173347 | - | 0 | 0 | - | Unknown |
| THE Clark Group Asset Management CRD: 164405 | - | 0 | 1 | - | Unknown |
| THE Clarus Group CRD: 310163 | - | 0 | 3 | - | Unknown |
| THE Class Advisor, Inc. CRD: 298009 | - | 0 | 0 | - | Unknown |
| THE Clermont Group, LLC CRD: 112190 | - | 0 | 0 | A | INACTIVE |
| THE Clever Group CRD: 324323 | - | 0 | 0 | - | Unknown |
| THE Clients Securities Corporation CRD: 14329 | - | 0 | 0 | A | INACTIVE |
| THE Clifford Group LLC CRD: 318897 | - | 0 | 1 | - | Unknown |
| THE Cloutier Group's Estate & Financial Strategies CRD: 150381 | - | 0 | 0 | - | Unknown |
| THE Coleridge Group LLC CRD: 108335 | - | 0 | 1 | - | Unknown |
| THE Colonial Investment Corporation CRD: 10804 | - | 0 | 0 | A | INACTIVE |
| THE Colton Securities Corporation CRD: 15311 | - | 0 | 0 | A | INACTIVE |
| THE Columbia Group, Inc. CRD: 38001 | - | 0 | 0 | A | INACTIVE |
| THE Columbian Securities Corporation CRD: 169 | - | 0 | 0 | A | INACTIVE |
| THE Column Group CRD: 161912 | - | 0 | 1 | - | Unknown |
| THE Commonwealth Group LLC CRD: 326793 | - | 0 | 3 | - | Unknown |
| THE Community Development Venture Capital Alliance CRD: 298795 | - | 0 | 1 | - | Unknown |
| THE Community Foundation for Greater NEW Haven, In… CRD: 169212 | - | 0 | 2 | - | Unknown |
| THE Compounding Co CRD: 342215 | - | 0 | 2 | - | Unknown |
| THE Concord Equity Group, LLC CRD: 14569 | - | 7 | 0 | D | INACTIVE |
| THE Concord Group of Princeton, Ltd. CRD: 24733 | - | 0 | 0 | A | INACTIVE |
| THE Confluent Group, LLC CRD: 281363 | - | 0 | 0 | - | Unknown |
| THE Connemara Group, LLC CRD: 281262 | - | 0 | 0 | - | Unknown |
| THE Connor Group Fund Manager, LLC CRD: 342266 | - | 0 | 1 | - | Unknown |