Broker-Dealer Firms
279 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 |
|---|---|---|---|---|---|
| Caldwell Sutter Capital, Inc. CRD: 10489 | CA | 1 | 13 | B | Active |
| Canguru Capital Advisors CRD: 332797 | CA | 0 | 1 | A | Active |
| Capital Client Group, Inc. CRD: 6247 | CA | 0 | 607 | A | Active |
| Capital Research Brokerage Services, LLC CRD: 40823 | CA | 0 | 2 | A | Active |
| Capital Synergy Partners CRD: 148733 | CA | 0 | 33 | A | Active |
| Caplight Markets LLC CRD: 103970 | CA | 0 | 2 | A | Active |
| Caplink Securities, Inc CRD: 130702 | CA | 1 | 2 | B | Active |
| Casey Securities LLC CRD: 35230 | CA | 20 | 2 | D | Active |
| Cash APP Investing LLC CRD: 144076 | CA | 1 | 2 | B | Active |
| Ceiba Financial, LLC CRD: 298977 | CA | 0 | 12 | A | Active |
| Centaurus Financial, Inc. CRD: 30833 | CA | 26 | 376 | B | Active |
| Centerpoint M&A Advisors, Inc. CRD: 139611 | CA | 0 | 2 | A | Active |
| Cetera Wealth Services, LLC CRD: 13572 | CA | 37 | 4,114 | B | Active |
| Chandler Distribution Services, LLC CRD: 331780 | CA | 0 | 3 | A | Active |
| Citizens JMP Securities, LLC CRD: 22208 | CA | 6 | 23 | C | Active |
| Clearlake Capital Markets, LLC CRD: 337762 | CA | 0 | 1 | A | Active |
| CMG Securities LLC CRD: 289090 | CA | 0 | 6 | A | Active |
| Coit Capital Securities LLC CRD: 164959 | CA | 0 | 2 | A | Active |
| Columbia Capital Securities, Inc. CRD: 146838 | CA | 0 | 3 | A | Active |
| Compak Securities, Inc. CRD: 125472 | CA | 0 | 3 | A | Active |
| Comstock Partners, L.L.C. CRD: 37544 | CA | 1 | 2 | B | Active |
| Copley Alternative Investments Inc. CRD: 336405 | CA | 0 | 1 | A | Active |
| Courtlandt Securities Corporation CRD: 137356 | CA | 0 | 2 | A | Active |
| CP Investments, LLC CRD: 24029 | CA | 1 | 4 | B | Active |
| CPS Financial & Insurance Services, Inc. CRD: 41243 | CA | 0 | 2 | A | Active |
| CWS Investments CRD: 23551 | CA | 2 | 21 | B | Active |
| Decker & Co, LLC CRD: 166446 | CA | 1 | 2 | B | Active |
| Denning & Company LLC CRD: 115971 | CA | 0 | 2 | A | Active |
| Digital Offering LLC CRD: 166401 | CA | 0 | 2 | A | Active |
| Direct Realty Securities, Inc. CRD: 168435 | CA | 0 | 2 | A | Active |
| Dream Street Securities, LLC CRD: 324818 | CA | 0 | 1 | A | Active |
| Dunham CRD: 13162 | CA | 4 | 12 | B | Active |
| Eastdil Secured Advisors LLC CRD: 304434 | CA | 0 | 4 | A | Active |
| Echelon Capital CRD: 155228 | CA | 0 | 2 | A | Active |
| Edgeline Capital, LLC. CRD: 152774 | CA | 0 | 2 | A | Active |
| Edgewater Capital, LLC CRD: 128898 | CA | 0 | 2 | A | Active |
| Emerson Equity LLC CRD: 130032 | CA | 2 | 110 | B | Active |
| Encompass More Investments, LLC CRD: 318438 | CA | 0 | 4 | A | Active |
| Equitybee Securities, LLC CRD: 41896 | CA | 0 | 2 | A | Active |
| Exchangeright Securities, LLC CRD: 283430 | CA | 0 | 2 | A | Active |
| Fallbrook Capital Securities Corp. CRD: 101180 | CA | 0 | 2 | A | Active |
| Farmers Financial Solutions, LLC CRD: 103863 | CA | 5 | 2,417 | B | Active |
| Figure Securities, Inc. CRD: 307093 | CA | 0 | 4 | A | Active |
| Financial Sense Securities, Inc. CRD: 39301 | CA | 0 | 2 | A | Active |
| Financial Telesis Inc CRD: 31012 | CA | 0 | 4 | A | Active |
| FMN Capital Corporation CRD: 38105 | CA | 1 | 4 | B | Active |
| Forest Road Securities BD LLC CRD: 148232 | CA | 0 | 2 | A | Active |
| Forge Securities LLC CRD: 134596 | CA | 0 | 3 | A | Active |
| Fortune Securities, Inc. CRD: 40821 | CA | 1 | 3 | B | Active |
| Franklin Distributors, LLC CRD: 109064 | CA | 1 | 21 | B | Active |