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 |
|---|---|---|---|---|---|
| Cairns & Company CRD: 22521 | - | 0 | 0 | A | INACTIVE |
| Cais Advisors CRD: 317466 | - | 0 | 1 | - | Unknown |
| Cais Capital LLC CRD: 154512 | NY | 0 | 4 | A | Active |
| Caishen Financial CRD: 326936 | - | 0 | 1 | - | Unknown |
| Caissa Capital, LP. CRD: 119123 | - | 0 | 0 | A | INACTIVE |
| Caissa Wealth Strategies CRD: 150458 | - | 0 | 1 | - | Unknown |
| Caitlin John, LLC CRD: 154494 | - | 0 | 21 | - | Unknown |
| Caius Capital LLP CRD: 285187 | - | 0 | 0 | - | Unknown |
| Caius Capital US LP CRD: 322911 | - | 0 | 1 | - | Unknown |
| Cake Ventures Management, LLC CRD: 314133 | - | 0 | 1 | - | Unknown |
| CAL Caulfield and Company, Inc. CRD: 7527 | - | 0 | 0 | A | INACTIVE |
| CAL FED Investments CRD: 19631 | - | 2 | 0 | B | INACTIVE |
| CAL FED Securities, Inc. CRD: 15984 | - | 0 | 0 | A | INACTIVE |
| CAL FP (US), Inc. CRD: 37412 | - | 0 | 0 | A | INACTIVE |
| CAL Securities, Inc. CRD: 16829 | - | 0 | 0 | A | INACTIVE |
| CAL State Securities Corp. CRD: 13781 | - | 0 | 0 | A | INACTIVE |
| CAL-CAP Securities, Inc. CRD: 10730 | - | 0 | 0 | A | INACTIVE |
| CAL-Meyer Securities, Inc. CRD: 14791 | - | 0 | 0 | A | INACTIVE |
| CAL-Western Securities Co. CRD: 130 | - | 0 | 0 | A | INACTIVE |
| Calabasas Advisory Group, LLC CRD: 288224 | - | 0 | 3 | - | Unknown |
| Calabazas Creek Advisors, LLC CRD: 281058 | - | 0 | 1 | - | Unknown |
| Calabria Trading, LLC CRD: 122961 | - | 0 | 0 | A | INACTIVE |
| Caladan Capital Management LLC CRD: 307318 | - | 0 | 0 | - | Unknown |
| Calado Capital CRD: 324440 | - | 0 | 1 | - | Unknown |
| Calafia Group CRD: 332936 | - | 0 | 1 | - | Unknown |
| Calamar Capital Management CRD: 288958 | - | 0 | 0 | - | Unknown |
| Calamar Capital Services, LLC CRD: 291439 | - | 0 | 0 | - | Unknown |
| Calamar Financial Group, LLC CRD: 283992 | NY | 0 | 3 | A | Active |
| Calamita Wealth Management CRD: 153316 | - | 0 | 3 | - | Unknown |
| Calamos Advisors LLC CRD: 105758 | - | 0 | 32 | - | Unknown |
| Calamos Aksia Advisors LLC CRD: 322773 | - | 0 | 0 | - | Unknown |
| Calamos Private Equity LLC CRD: 326913 | - | 0 | 1 | - | Unknown |
| Calamus Financial Planning CRD: 175188 | - | 0 | 0 | - | Unknown |
| Calcap Financial, Inc. CRD: 290409 | - | 0 | 0 | - | Unknown |
| Calculat3D Capital, LLC CRD: 329467 | - | 0 | 1 | - | Unknown |
| Calculated Wealth CRD: 318985 | - | 0 | 4 | - | Unknown |
| Calder Financial Group CRD: 143973 | - | 0 | 2 | - | Unknown |
| Calder Financial LLC CRD: 290616 | - | 0 | 1 | - | Unknown |
| Calder Securities, Inc. CRD: 10541 | - | 0 | 0 | A | INACTIVE |
| Caldera Capital, LLC CRD: 277113 | - | 0 | 0 | - | Unknown |
| Caldric Capital CRD: 341169 | - | 0 | 1 | - | Unknown |
| Caldwell & Orkin Inc CRD: 105366 | - | 0 | 0 | - | Unknown |
| Caldwell Advisors, LLC CRD: 144408 | - | 0 | 2 | - | Unknown |
| Caldwell Fairfield Advisors CRD: 124459 | - | 0 | 1 | - | Unknown |
| Caldwell Sutter Capital, Inc. CRD: 10489 | CA | 1 | 13 | B | Active |
| Cale Securities, Inc. CRD: 25498 | - | 0 | 0 | A | INACTIVE |
| Caleb Lawrence Registered Investment Adviser Inc. CRD: 108368 | - | 0 | 2 | - | Unknown |
| Caledonia (Private) Investments PTY Limited CRD: 161331 | - | 0 | 0 | - | Unknown |
| Caledonia (Private) Investments US, LLC CRD: 290122 | - | 0 | 0 | - | Unknown |
| Caledonia Partners L.P. CRD: 36969 | - | 0 | 0 | A | INACTIVE |