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 |
|---|---|---|---|---|---|
| C Financial and TAX Associates CRD: 170453 | - | 0 | 1 | - | Unknown |
| C III Capital Management, LLC CRD: 115937 | - | 0 | 0 | - | Unknown |
| C Reserve Capital, LLC CRD: 333263 | - | 0 | 1 | - | Unknown |
| C Ventures Fund II Investment Manager LLC CRD: 300357 | - | 0 | 0 | - | Unknown |
| C Ventures Investment Manager LLC CRD: 290291 | - | 0 | 0 | - | Unknown |
| C Worldwide Asset Management Fondsmaeglerselskab a… CRD: 173234 | - | 0 | 0 | - | Unknown |
| C&C Investor Services, Inc. CRD: 16622 | - | 0 | 0 | A | INACTIVE |
| C&C Trading L.L.C. CRD: 39302 | CT | 5 | 2 | C | Active |
| C&D Wealth Advisors CRD: 110769 | - | 0 | 1 | - | Unknown |
| C&H Equities, Inc. CRD: 13713 | - | 0 | 0 | A | INACTIVE |
| C&H Partners LLC CRD: 117122 | - | 0 | 0 | - | Unknown |
| C&L Financial Services CRD: 170551 | - | 0 | 0 | - | Unknown |
| C&M Connections, LLC CRD: 291915 | - | 0 | 1 | - | Unknown |
| C&N Trading, L.L.C. CRD: 100520 | - | 1 | 0 | B | INACTIVE |
| C&o Funds Advisor Inc CRD: 105612 | - | 0 | 0 | - | Unknown |
| C&o Funds Distributor, Inc. CRD: 13238 | - | 0 | 0 | A | INACTIVE |
| C&S Advisors, Inc. CRD: 166206 | - | 0 | 0 | - | Unknown |
| C&S Capital Partners, LLC CRD: 339592 | - | 0 | 1 | - | Unknown |
| C&S Family Advisors, LLC CRD: 304949 | - | 0 | 0 | - | Unknown |
| C&S Investment CRD: 294103 | - | 0 | 0 | - | Unknown |
| C&W Realty Capital Corporation CRD: 20684 | - | 0 | 0 | A | INACTIVE |
| C-Bass Capital LLC CRD: 43133 | - | 0 | 0 | A | INACTIVE |
| C-Bridge Capital Investment Management, Ltd. CRD: 298355 | - | 0 | 0 | - | Unknown |
| C-Bridge Capital LLC CRD: 308376 | - | 0 | 1 | - | Unknown |
| C-III Investment Management LLC CRD: 156553 | - | 0 | 1 | - | Unknown |
| C-J Advisory, Inc. CRD: 133665 | - | 0 | 0 | - | Unknown |
| C-PAS LLC CRD: 148670 | - | 0 | 0 | - | Unknown |
| C-Star Isar Ltd CRD: 341529 | - | 0 | 0 | - | Unknown |
| C. & R. Pastor Securities Incorporated CRD: 6535 | - | 0 | 0 | A | INACTIVE |
| C. a. Botzum & Co. CRD: 123 | - | 2 | 0 | B | INACTIVE |
| C. Bredefeld Consulting, Inc. CRD: 289531 | - | 0 | 0 | - | Unknown |
| C. Burton Stohl & Company, L.L.C CRD: 43746 | - | 0 | 0 | A | INACTIVE |
| C. Chappellet Securities, Inc. CRD: 30909 | - | 0 | 0 | A | INACTIVE |
| C. Coll Inc. CRD: 15448 | - | 0 | 0 | A | INACTIVE |
| C. D. Anderson & Company, Incorporated CRD: 6801 | - | 0 | 0 | A | INACTIVE |
| C. E. Carlson, Inc. CRD: 6851 | - | 0 | 0 | A | INACTIVE |
| C. E. Gaye & Sons Securities Ltd. CRD: 2394 | - | 1 | 0 | B | INACTIVE |
| C. E. Skowrup & Co. CRD: 108456 | - | 0 | 2 | - | Unknown |
| C. F. Childs & Company, Inc. CRD: 16646 | - | 0 | 0 | A | INACTIVE |
| C. G. Hughes Company, LLC CRD: 109357 | - | 0 | 0 | - | Unknown |
| C. G. Lopp Securities, Inc. CRD: 15165 | - | 0 | 0 | A | INACTIVE |
| C. G. Menk & Associates, Inc. CRD: 38336 | - | 0 | 0 | A | INACTIVE |
| C. Geraci & Company CRD: 114965 | - | 0 | 0 | - | Unknown |
| C. Giacobbe Group Inc. CRD: 308218 | - | 0 | 0 | - | Unknown |
| C. H. Wagner & Co., Inc. CRD: 122 | - | 0 | 0 | A | INACTIVE |
| C. Harvey & Associates Securities, Inc. CRD: 13297 | - | 0 | 0 | A | INACTIVE |
| C. I. G. Securities Company CRD: 21929 | - | 0 | 0 | A | INACTIVE |
| C. J. Ledone Equities, Inc. CRD: 45300 | - | 0 | 0 | A | INACTIVE |
| C. J. M. Planning Corp. CRD: 5698 | - | 4 | 0 | C | INACTIVE |
| C. Keith Wentworth CRD: 114086 | - | 0 | 0 | - | Unknown |