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. L. King & Associates, Inc. CRD: 6183 | NY | 9 | 3 | C | Active |
| C. L. Mckinney & Co., Inc. CRD: 2735 | - | 0 | 0 | A | INACTIVE |
| C. M. Blair, W. O. Foster & Co., Inc. CRD: 6501 | - | 8 | 0 | D | INACTIVE |
| C. Michael Amin, LLC CRD: 165296 | - | 0 | 2 | - | Unknown |
| C. O. Overbey, JR LLC CRD: 117192 | - | 0 | 1 | - | Unknown |
| C. R. Boggs Financial Services, Inc. CRD: 16974 | - | 5 | 0 | C | INACTIVE |
| C. R. Davis & Company CRD: 1593 | - | 2 | 0 | B | INACTIVE |
| C. Victor Coates, C.P.A. CRD: 108144 | - | 0 | 0 | - | Unknown |
| C.A. Andrew, Inc. CRD: 16618 | - | 0 | 0 | A | INACTIVE |
| C.A. Atlantic Securities, Inc. CRD: 16358 | - | 0 | 0 | A | INACTIVE |
| C.A.L. Investment Services Inc. CRD: 15642 | - | 0 | 0 | A | INACTIVE |
| C.B. Bond Financial Planning, Inc. CRD: 117765 | - | 0 | 2 | - | Unknown |
| C.B. Hill & Associates, Inc. CRD: 23786 | - | 6 | 0 | C | INACTIVE |
| C.B. Terrence Capital Corporaiton CRD: 20047 | - | 0 | 0 | A | INACTIVE |
| C.B.I. Agencies Ltd., Inc. CRD: 14788 | - | 0 | 0 | A | INACTIVE |
| C.C. Mcdonald CRD: 10934 | - | 0 | 0 | A | INACTIVE |
| C.C.G. Securities, Ltd. CRD: 15231 | - | 0 | 0 | A | INACTIVE |
| C.C.M. Investment Company CRD: 10239 | - | 0 | 0 | A | INACTIVE |
| C.D. Allen Wealth Management, LLC CRD: 131588 | - | 0 | 2 | - | Unknown |
| C.E. Humphrey Associates, Inc. CRD: 131661 | - | 0 | 0 | - | Unknown |
| C.E.C. Wealth Management CRD: 323751 | - | 0 | 1 | - | Unknown |
| C.F. Moore Investments CRD: 114303 | - | 0 | 0 | - | Unknown |
| C.G. Management Partners, L.P. CRD: 124474 | - | 0 | 0 | - | Unknown |
| C.G.A. Wealth Management CRD: 288034 | - | 0 | 0 | - | Unknown |
| C.I. Securities Corporation CRD: 13707 | - | 0 | 0 | A | INACTIVE |
| C.J. Johnson, Inc. CRD: 14707 | - | 0 | 0 | A | INACTIVE |
| C.J. Lawrence CRD: 174034 | - | 0 | 0 | - | Unknown |
| C.J. Mclaughlin & Company CRD: 10163 | - | 0 | 0 | A | INACTIVE |
| C.J. Wright and Company, Inc. CRD: 16592 | - | 0 | 0 | A | INACTIVE |
| C.J.GILBERT Financial LLC CRD: 300837 | - | 0 | 1 | - | Unknown |
| C.K. Cooper & Company, Inc. CRD: 13653 | - | 0 | 0 | A | INACTIVE |
| C.K. Cooper & Company, Inc. CRD: 106578 | - | 5 | 0 | C | INACTIVE |
| C.K.C Financial Services, PLLC. CRD: 153370 | - | 0 | 0 | - | Unknown |
| C.L. Culton Investments, Limited CRD: 20974 | - | 0 | 0 | A | INACTIVE |
| C.L. Fredericks Co., Inc. CRD: 4408 | - | 0 | 0 | A | INACTIVE |
| C.L. Sheldon & Company, LLC CRD: 152582 | - | 0 | 3 | - | Unknown |
| C.L. Welsh Asset Management LLC CRD: 121133 | - | 0 | 0 | - | Unknown |
| C.M. Capital Advisors, LLC CRD: 157529 | - | 0 | 1 | - | Unknown |
| C.M.BIDWELL & Associates Ltd CRD: 107449 | - | 0 | 4 | - | Unknown |
| C.N.M. Management, LLC CRD: 121035 | - | 0 | 3 | - | Unknown |
| C.P. Baker Securities Incorporated CRD: 26233 | - | 4 | 0 | C | INACTIVE |
| C.R. Haupt LLC CRD: 157149 | - | 0 | 1 | - | Unknown |
| C.R. Lloyd Investment Services, LLC CRD: 325212 | SD | 0 | 2 | A | Active |
| C.R. Retirement Strategies, LLC CRD: 339017 | - | 0 | 1 | - | Unknown |
| C.S Wealth LLC CRD: 329021 | - | 0 | 1 | - | Unknown |
| C.S. Mckee, L.P. CRD: 119167 | - | 0 | 0 | - | Unknown |
| C.T. Kares Advisory Group, Inc. CRD: 117829 | - | 0 | 2 | - | Unknown |
| C.U. Brokerage Services, Inc. CRD: 14621 | - | 0 | 0 | A | INACTIVE |
| C.W. DI Stefano Enterprises, LLC CRD: 286011 | - | 0 | 0 | - | Unknown |
| C.W. Henderson & Associates, Inc. CRD: 108213 | - | 0 | 0 | - | Unknown |