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.W. O'conner Wealth Advisors, Inc. CRD: 125646 | - | 0 | 1 | - | Unknown |
| C.W. Rhoades & Co., Inc. CRD: 13491 | - | 0 | 0 | A | INACTIVE |
| C.Y. Securities, Inc. CRD: 29829 | - | 0 | 0 | A | INACTIVE |
| C/M Capital Partners, LP CRD: 332641 | - | 0 | 1 | - | Unknown |
| C1 Advisors LLC CRD: 331914 | - | 0 | 1 | - | Unknown |
| C10 Labs CRD: 328285 | - | 0 | 1 | - | Unknown |
| C11 Management LLC CRD: 334154 | - | 0 | 0 | - | Unknown |
| C11E Angellist Fund, LLC CRD: 322707 | - | 0 | 1 | - | Unknown |
| C12 Capital Management CRD: 157174 | - | 0 | 0 | - | Unknown |
| C12 Capital Management US LP CRD: 159845 | - | 0 | 0 | - | Unknown |
| C2 Energy Capital LLC CRD: 298716 | - | 0 | 0 | - | Unknown |
| C2 Financial Planning LLC CRD: 337236 | - | 0 | 0 | - | Unknown |
| C2 Investment Group CRD: 119473 | - | 0 | 2 | - | Unknown |
| C2 Private Wealth CRD: 151501 | - | 0 | 5 | - | Unknown |
| C2 Ventures Management, LLC CRD: 333835 | - | 0 | 1 | - | Unknown |
| C2C Wealth Management, LLC CRD: 284148 | - | 0 | 2 | - | Unknown |
| C2FUTURE.COM Investment Services, Inc CRD: 102400 | - | 0 | 0 | A | INACTIVE |
| C2G Capital Management LLC CRD: 137014 | - | 0 | 1 | - | Unknown |
| C2M Securities, LLC CRD: 38924 | - | 1 | 0 | B | INACTIVE |
| C3 Capital, LLC CRD: 119155 | - | 0 | 0 | A | INACTIVE |
| C4M Global Advisors LLC CRD: 326942 | - | 0 | 1 | - | Unknown |
| C4T LLC CRD: 324073 | - | 0 | 1 | - | Unknown |
| C5 Capital Limited CRD: 297542 | - | 0 | 0 | - | Unknown |
| C5 Capital USA LLC CRD: 323150 | - | 0 | 1 | - | Unknown |
| C6 Capital Securities LLC CRD: 299058 | - | 0 | 0 | A | INACTIVE |
| C7 Investments, LLC CRD: 338505 | - | 0 | 1 | - | Unknown |
| CA Adviser, LLC CRD: 300183 | - | 0 | 1 | - | Unknown |
| CA Advisors, LLC CRD: 309178 | - | 0 | 0 | - | Unknown |
| CA Funds Group, Inc. CRD: 151193 | - | 4 | 0 | C | INACTIVE |
| CA IB Securities (NEW York) Inc. CRD: 14851 | - | 0 | 0 | A | INACTIVE |
| CA Partners LLC CRD: 121742 | - | 0 | 0 | - | Unknown |
| CAA Connect, LLC CRD: 308930 | - | 0 | 1 | - | Unknown |
| CAA Venture Management, LLC CRD: 167358 | - | 0 | 1 | - | Unknown |
| Caas Capital Management LP CRD: 306096 | - | 0 | 0 | - | Unknown |
| Cabana Advisors, LLC CRD: 145395 | - | 0 | 0 | - | Unknown |
| Cabana Asset Management CRD: 151418 | - | 0 | 2 | - | Unknown |
| Cabbage Investing LLC CRD: 288039 | - | 0 | 0 | - | Unknown |
| Cabildo Capital LLC CRD: 297330 | - | 0 | 1 | - | Unknown |
| Cabin Advisors, LLC CRD: 312547 | - | 0 | 14 | - | Unknown |
| Cabin Securities, Inc. CRD: 137608 | KS | 1 | 10 | B | Active |
| Cable CAR Capital, LP CRD: 169234 | - | 0 | 1 | - | Unknown |
| Cable Hill Partners, LLC CRD: 168252 | - | 0 | 0 | - | Unknown |
| Cabot ETF Partners CRD: 311348 | - | 0 | 0 | - | Unknown |
| Cabot Financial Advisors CRD: 332770 | - | 0 | 0 | - | Unknown |
| Cabot Lane LLC CRD: 143301 | - | 0 | 0 | A | INACTIVE |
| Cabot Lodge Securities LLC CRD: 159712 | IL | 3 | 80 | B | Active |
| Cabot Properties L.P. CRD: 118729 | - | 0 | 1 | - | Unknown |
| Cabot Square Capital CRD: 160101 | - | 0 | 0 | - | Unknown |
| Cabot Wealth Management CRD: 107327 | - | 0 | 7 | - | Unknown |
| Cabot-Meyers Financial Group CRD: 1615 | - | 0 | 0 | A | INACTIVE |