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 |
|---|---|---|---|---|---|
| Caboto USA, Inc. CRD: 45705 | - | 0 | 0 | A | INACTIVE |
| Cabourne & Associates CRD: 148415 | - | 0 | 0 | - | Unknown |
| Cabra VC CRD: 333714 | - | 0 | 0 | - | Unknown |
| Cabra VC Partners Ltd CRD: 312261 | - | 0 | 0 | - | Unknown |
| Cabrera Capital Markets, LLC CRD: 10081 | IL | 4 | 9 | B | Active |
| Cabrera Capital Partners CRD: 173400 | - | 0 | 1 | - | Unknown |
| Cabrera Group PE Fund Manager LLC CRD: 323933 | - | 0 | 1 | - | Unknown |
| Cabrera, Enier J CRD: 167902 | - | 0 | 0 | - | Unknown |
| Cabrillo Broker, L.L.C CRD: 142185 | - | 0 | 0 | A | INACTIVE |
| Cabrillo Capital Management CRD: 109897 | - | 0 | 0 | - | Unknown |
| Caburn Management LP CRD: 167401 | - | 0 | 0 | - | Unknown |
| CAC Capital Corp CRD: 15396 | - | 3 | 0 | C | INACTIVE |
| Cache Advisors LLC CRD: 323063 | - | 0 | 5 | - | Unknown |
| Cache Management LLC CRD: 307396 | - | 0 | 0 | - | Unknown |
| Cache Securities LLC CRD: 319607 | CA | 0 | 1 | A | Active |
| Cachematrix Broker/Dealer LLC CRD: 127226 | - | 0 | 0 | A | INACTIVE |
| Cachetech CRD: 327688 | - | 0 | 1 | - | Unknown |
| Cacm CRD: 298587 | - | 0 | 1 | - | Unknown |
| Cactus Capital, LLC CRD: 295235 | - | 0 | 1 | - | Unknown |
| Cada & Associates, Inc. CRD: 116101 | - | 0 | 0 | - | Unknown |
| Cadalyst, LLC CRD: 283068 | - | 0 | 1 | - | Unknown |
| Cadaret, Grant & Co., Inc. CRD: 16404 | - | 0 | 0 | A | INACTIVE |
| Cadaret, Grant & Co., Inc. CRD: 10641 | - | 21 | 0 | F | INACTIVE |
| Cade Advisors, LLC CRD: 161689 | - | 0 | 0 | - | Unknown |
| Cade Group, Inc. CRD: 114970 | - | 0 | 1 | - | Unknown |
| Cade Ventures Management LLC CRD: 329738 | - | 0 | 0 | - | Unknown |
| Cade Wealth Management LLC CRD: 320796 | - | 0 | 1 | - | Unknown |
| Cademuir Wealth Management CRD: 337766 | - | 0 | 2 | - | Unknown |
| Caden Capital Partners, LP CRD: 317442 | - | 0 | 0 | - | Unknown |
| Cadena Financial Orange County CRD: 168979 | - | 0 | 0 | - | Unknown |
| Cadena Financial Planning & TAX Services CRD: 135892 | - | 0 | 1 | - | Unknown |
| Cadence Capital Management LLC CRD: 106561 | - | 0 | 0 | - | Unknown |
| Cadence Financial Group CRD: 15643 | - | 0 | 0 | A | INACTIVE |
| Cadence Healthcare Ventures, LLC CRD: 321003 | - | 0 | 1 | - | Unknown |
| Cadence Hill Capital Management, LLC CRD: 289607 | - | 0 | 0 | - | Unknown |
| Cadence Planning, LLC CRD: 319663 | - | 0 | 1 | - | Unknown |
| Cadence Wealth Management LLC CRD: 155080 | - | 0 | 1 | - | Unknown |
| Cadence Wealth Management, LLC CRD: 158636 | - | 0 | 3 | - | Unknown |
| Cadence Wealth Partners, LLC CRD: 329274 | - | 0 | 1 | - | Unknown |
| Cadent Capital Advisors, LLC CRD: 169704 | - | 0 | 7 | - | Unknown |
| Cadent Energy Partners CRD: 157559 | - | 0 | 1 | - | Unknown |
| Cadenza Financial Planning CRD: 314193 | - | 0 | 1 | - | Unknown |
| Cadenza Ventures Management Company, LLC CRD: 317905 | - | 0 | 1 | - | Unknown |
| Cadex Capital, LP CRD: 281272 | - | 0 | 0 | - | Unknown |
| Cadger TAX and Financial Inc. CRD: 312033 | - | 0 | 2 | - | Unknown |
| Cadia Private Client LLC CRD: 337400 | - | 0 | 1 | - | Unknown |
| Cadian Capital Management, LP CRD: 157813 | - | 0 | 1 | - | Unknown |
| Cadinha & Co LLC CRD: 108135 | - | 0 | 6 | - | Unknown |
| Cadman Capital Ltd CRD: 161719 | - | 0 | 0 | - | Unknown |
| Cadman Securities, LLC CRD: 128344 | IL | 0 | 2 | A | Active |