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 |
|---|---|---|---|---|---|
| Cadogan Park CRD: 291546 | - | 0 | 0 | - | Unknown |
| Cadre Capital, Limited CRD: 7815 | - | 0 | 0 | A | INACTIVE |
| Cadron Capital Partners Fund Manager LLC CRD: 296960 | - | 0 | 0 | - | Unknown |
| Caduceus Capital Partners I, LLC CRD: 335847 | - | 0 | 1 | - | Unknown |
| Caduceus Capital Partners II, LLC CRD: 335850 | - | 0 | 1 | - | Unknown |
| Cadwest Capital Advisors LLC CRD: 125124 | - | 0 | 0 | A | INACTIVE |
| Cadz Securities Inc CRD: 326039 | FL | 0 | 1 | A | Active |
| CAE Investment Advisory, LLC CRD: 334890 | - | 0 | 2 | - | Unknown |
| Caelian Capital Strategies, LLC CRD: 291163 | - | 0 | 0 | - | Unknown |
| Caelum Financial LLC CRD: 306963 | - | 0 | 0 | - | Unknown |
| Caerus Investors, LLC CRD: 281292 | - | 0 | 0 | - | Unknown |
| Caerus Trading, L.L.C. CRD: 296768 | - | 0 | 0 | A | INACTIVE |
| Caesar's Investments LLC CRD: 310074 | - | 0 | 0 | - | Unknown |
| Caesaron II Fund LP CRD: 133107 | - | 0 | 0 | A | INACTIVE |
| CAF Investments LLC CRD: 313629 | - | 0 | 1 | - | Unknown |
| Caffeinated Capital Management, LLC CRD: 165964 | - | 0 | 1 | - | Unknown |
| Caffrey Ceresa & Co. Securities, Inc. CRD: 17837 | - | 0 | 0 | A | INACTIVE |
| Caffrey Retirement Solutions CRD: 312280 | - | 0 | 0 | - | Unknown |
| Cafg Wealth Management, Inc. CRD: 165901 | - | 0 | 0 | - | Unknown |
| CAG Resources, Inc. CRD: 18419 | - | 0 | 0 | A | INACTIVE |
| Cagle Financial Advisory, LLC CRD: 125284 | - | 0 | 0 | - | Unknown |
| Cagney, Brian Francis CRD: 34662 | - | 0 | 0 | A | INACTIVE |
| Cagr Advisory LLC CRD: 338323 | - | 0 | 0 | - | Unknown |
| Cagr Finance LLC CRD: 337809 | - | 0 | 1 | - | Unknown |
| CAH Advisors, LLC CRD: 316355 | - | 0 | 1 | - | Unknown |
| Cahaba Capital CRD: 286264 | - | 0 | 1 | - | Unknown |
| Cahaba Wealth Management, Inc. CRD: 151675 | - | 0 | 18 | - | Unknown |
| Cahill Wealth Management, LLC CRD: 134508 | - | 0 | 0 | - | Unknown |
| Cahn Capital Corp. CRD: 34843 | - | 0 | 0 | A | INACTIVE |
| Cahn Ernst I CRD: 11278 | - | 0 | 0 | A | INACTIVE |
| CAI Institutional Services, LLC CRD: 38741 | - | 0 | 0 | A | INACTIVE |
| CAI Manager LP CRD: 310205 | - | 0 | 1 | - | Unknown |
| CAI Private Equity CRD: 161415 | - | 0 | 0 | - | Unknown |
| CAI Securities Corporation CRD: 14511 | - | 0 | 0 | A | INACTIVE |
| CAI Securities Corporation CRD: 16474 | - | 0 | 0 | A | INACTIVE |
| Caim LLC CRD: 144946 | - | 0 | 1 | - | Unknown |
| Caiman Capital Group LLC CRD: 318162 | - | 0 | 1 | - | Unknown |
| Cain Brothers & Company, LLC CRD: 13649 | - | 2 | 0 | B | INACTIVE |
| Cain Capital Management, LP CRD: 113592 | - | 0 | 1 | - | Unknown |
| Cain, Watters & Associates, LLC CRD: 111521 | - | 0 | 14 | - | Unknown |
| Caine Capital Management CRD: 117670 | - | 0 | 0 | - | Unknown |
| Caine Securities, Inc. CRD: 13592 | - | 0 | 0 | A | INACTIVE |
| Caird Investments CRD: 334504 | - | 0 | 1 | - | Unknown |
| Cairn Capital North America Inc. CRD: 156809 | - | 0 | 0 | - | Unknown |
| Cairn Financial Group CRD: 299889 | - | 0 | 2 | - | Unknown |
| Cairn Financial Planning CRD: 326908 | - | 0 | 0 | - | Unknown |
| Cairn Investment Group CRD: 143601 | - | 0 | 2 | - | Unknown |
| Cairn Investor Services CRD: 282853 | - | 0 | 1 | - | Unknown |
| Cairn Loan Investments CRD: 283408 | - | 0 | 0 | - | Unknown |
| Cairngorm Capital Partners LLP CRD: 288561 | - | 0 | 0 | - | Unknown |