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 Conscious Fund CRD: 311799 | - | 0 | 0 | - | Unknown |
| THE Cook Company, LLC CRD: 108889 | - | 0 | 1 | - | Unknown |
| THE Copia Group CRD: 327954 | - | 0 | 1 | - | Unknown |
| THE Cornish Group LLC DBA Cornish Financial Servic… CRD: 131112 | - | 0 | 2 | - | Unknown |
| THE Coterie Management Co. LLC CRD: 317184 | - | 0 | 0 | - | Unknown |
| THE Council Capital LLC CRD: 316045 | - | 0 | 1 | - | Unknown |
| THE Counter Corporation CRD: 14403 | - | 0 | 0 | A | INACTIVE |
| THE Courtney Group, LLC CRD: 114904 | CA | 0 | 2 | A | Active |
| THE Coury Firm CRD: 289145 | - | 0 | 5 | - | Unknown |
| THE Cowles Group CRD: 171764 | - | 0 | 0 | - | Unknown |
| THE CPA Approach to Investing, LLC CRD: 281482 | - | 0 | 0 | - | Unknown |
| THE Crisler Company Limited Partnership CRD: 24707 | - | 0 | 0 | A | INACTIVE |
| THE Crown Advisors, LLC CRD: 133226 | - | 0 | 0 | - | Unknown |
| THE Crystal Mountain Group, Inc. CRD: 159072 | - | 0 | 0 | - | Unknown |
| THE CUE Ball Group, LLC CRD: 162245 | - | 0 | 1 | - | Unknown |
| THE Curtis Company CRD: 313258 | - | 0 | 1 | - | Unknown |
| THE Cygnus Group, Ltd. CRD: 13046 | - | 0 | 0 | A | INACTIVE |
| THE Cypress Funds LLC CRD: 107502 | - | 0 | 1 | - | Unknown |
| THE Dagel Group CRD: 298383 | - | 0 | 0 | - | Unknown |
| THE Dala Group, LLC CRD: 291828 | - | 0 | 2 | - | Unknown |
| THE Dallas Financial Corporation CRD: 14113 | - | 0 | 0 | A | INACTIVE |
| THE Dane Group, Ltd. CRD: 33937 | - | 1 | 0 | B | INACTIVE |
| THE Darcy Group LLC CRD: 42692 | - | 0 | 0 | A | INACTIVE |
| THE Data Tribe, LLC CRD: 301265 | - | 0 | 0 | - | Unknown |
| THE Davenport Financial Group, Inc. CRD: 282200 | - | 0 | 1 | - | Unknown |
| THE David J. Yvars Group Inc. CRD: 328901 | - | 0 | 5 | - | Unknown |
| THE David J. Yvars Group, Inc. CRD: 130852 | - | 0 | 0 | - | Unknown |
| THE David-Maxwell Company, Inc. CRD: 16876 | - | 0 | 0 | A | INACTIVE |
| THE Dayton Company Inc CRD: 297471 | - | 0 | 2 | - | Unknown |
| THE DC Group Advisory Services, Inc CRD: 171459 | - | 0 | 0 | - | Unknown |
| THE DE Burlo Group, Inc. CRD: 153435 | - | 0 | 1 | - | Unknown |
| THE Dean's List CRD: 334064 | - | 0 | 1 | - | Unknown |
| THE Debart Group Inc. CRD: 118660 | - | 0 | 2 | - | Unknown |
| THE Dedicated Dollar CRD: 317383 | - | 0 | 1 | - | Unknown |
| THE Delaware BAY Company, Inc. CRD: 18155 | - | 0 | 0 | A | INACTIVE |
| THE Delta Group CRD: 111852 | - | 0 | 1 | - | Unknown |
| THE Deshon Owens Company, LLC CRD: 159637 | - | 0 | 0 | - | Unknown |
| THE Design Capital Planning Group, Inc. CRD: 286075 | - | 0 | 0 | - | Unknown |
| THE Dienekes Corporation CRD: 150276 | - | 0 | 1 | - | Unknown |
| THE Director, LLC CRD: 293787 | - | 0 | 0 | - | Unknown |
| THE Dividend-Option Strategist, LLC CRD: 155497 | - | 0 | 0 | - | Unknown |
| THE Doman Group, LLC CRD: 159749 | - | 0 | 0 | - | Unknown |
| THE Donerail Group LP CRD: 304513 | - | 0 | 0 | - | Unknown |
| THE Donner Group CRD: 125028 | - | 0 | 0 | - | Unknown |
| THE Dorian Fund L.P. CRD: 169377 | - | 0 | 0 | - | Unknown |
| THE Dorset Group CRD: 321839 | - | 0 | 0 | - | Unknown |
| THE Dowling Group Wealth Management CRD: 155624 | - | 0 | 1 | - | Unknown |
| THE DR Team CRD: 332151 | - | 0 | 2 | - | Unknown |
| THE Dragon's Hedge CRD: 282540 | - | 0 | 0 | - | Unknown |
| THE Draken Group, Inc. CRD: 6125 | - | 4 | 0 | C | INACTIVE |