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 |
|---|---|---|---|---|---|
| Cape ANN Financial CRD: 131088 | - | 0 | 1 | - | Unknown |
| Cape Capital AG CRD: 324701 | - | 0 | 0 | - | Unknown |
| Cape Fear Securities, Inc. CRD: 156359 | - | 0 | 0 | A | INACTIVE |
| Cape International, Inc. CRD: 10782 | - | 0 | 0 | A | INACTIVE |
| Cape Investment Advisory, Inc. CRD: 146384 | - | 0 | 34 | - | Unknown |
| Cape Point Wealth & TAX Management CRD: 305344 | - | 0 | 0 | - | Unknown |
| Cape Securities Inc. CRD: 7072 | GA | 5 | 9 | B | Active |
| Capel Court Pacific, Inc. CRD: 18402 | - | 0 | 0 | A | INACTIVE |
| Capelight Capital Asset Management CRD: 333408 | - | 0 | 1 | - | Unknown |
| Capella Securities LLC CRD: 174167 | NY | 0 | 2 | A | Active |
| Caperton & Gordon Securities, Inc. CRD: 14012 | - | 0 | 0 | A | INACTIVE |
| Capes Capital Management, Inc. CRD: 114639 | - | 0 | 0 | - | Unknown |
| Capeview Capital LLP CRD: 160092 | - | 0 | 0 | - | Unknown |
| Capfi Partners LLC CRD: 113795 | - | 3 | 0 | C | INACTIVE |
| Capfinancial Securities, LLC. CRD: 126291 | NC | 1 | 35 | B | Active |
| Capflow Group Inc. CRD: 337653 | - | 0 | 0 | - | Unknown |
| Capgen Capital Advisers, LLC CRD: 160387 | - | 0 | 0 | - | Unknown |
| Capgroup Securities, L.L.C. CRD: 47075 | - | 0 | 0 | A | INACTIVE |
| Capinsights Partners, LLC CRD: 327448 | - | 0 | 2 | - | Unknown |
| Capis CRD: 7551 | TX | 9 | 14 | B | Active |
| Capita Financial Network, LLC CRD: 290558 | - | 0 | 5 | - | Unknown |
| Capita3 Management LLC CRD: 299399 | - | 0 | 1 | - | Unknown |
| Capital & Business Planning, Inc. CRD: 16447 | - | 0 | 0 | A | INACTIVE |
| Capital & Credit International, Inc. CRD: 136660 | - | 0 | 0 | A | INACTIVE |
| Capital & Estate Management, Inc. CRD: 148504 | FL | 0 | 2 | A | Active |
| Capital & Security Management Inc CRD: 108295 | - | 0 | 0 | - | Unknown |
| Capital 49 Investment Management Limited CRD: 340338 | - | 0 | 0 | - | Unknown |
| Capital a Management B.V. CRD: 341291 | - | 0 | 0 | - | Unknown |
| Capital a Wealth Management CRD: 328863 | - | 0 | 10 | - | Unknown |
| Capital Access, Ltd. CRD: 24898 | - | 2 | 0 | B | INACTIVE |
| Capital Accumulation Planning Corporation CRD: 314988 | - | 0 | 0 | - | Unknown |
| Capital Adulting LLC CRD: 337636 | - | 0 | 1 | - | Unknown |
| Capital Advantage, Inc. CRD: 108985 | - | 0 | 1 | - | Unknown |
| Capital Advice, LLC CRD: 300414 | - | 0 | 1 | - | Unknown |
| Capital Advisers, Inc. CRD: 118442 | - | 0 | 1 | - | Unknown |
| Capital Advisor Network CRD: 297578 | - | 0 | 8 | - | Unknown |
| Capital Advisors CRD: 116881 | - | 0 | 1 | - | Unknown |
| Capital Advisors Group, Inc CRD: 112000 | - | 0 | 5 | - | Unknown |
| Capital Advisors, Inc. CRD: 104643 | - | 0 | 18 | - | Unknown |
| Capital Advisors, LLC CRD: 126748 | - | 0 | 0 | - | Unknown |
| Capital Advisors, Ltd., LLC CRD: 153600 | - | 0 | 12 | - | Unknown |
| Capital Advisory Group CRD: 147192 | - | 0 | 1 | - | Unknown |
| Capital Advisory Group LLC CRD: 287747 | - | 0 | 0 | - | Unknown |
| Capital Advisory Group, Inc. CRD: 114539 | - | 0 | 1 | - | Unknown |
| Capital Advisory Services, LLC CRD: 121227 | - | 0 | 2 | - | Unknown |
| Capital Alliance Advisors, Inc. CRD: 166033 | - | 0 | 0 | - | Unknown |
| Capital Allocation Management, Inc CRD: 129216 | - | 0 | 1 | - | Unknown |
| Capital and Planning, LLC CRD: 321104 | - | 0 | 2 | - | Unknown |
| Capital Area Planning Group CRD: 333056 | - | 0 | 2 | - | Unknown |
| Capital Asset Advisors LLC. CRD: 291635 | - | 0 | 1 | - | Unknown |