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 |
|---|---|---|---|---|---|
| Capital Asset Advisors, Inc. CRD: 19607 | - | 1 | 0 | B | INACTIVE |
| Capital Asset Advisory, Inc. CRD: 125685 | - | 0 | 2 | - | Unknown |
| Capital Asset Management Corporation CRD: 118337 | - | 0 | 0 | - | Unknown |
| Capital Asset Securities, Inc. CRD: 14474 | - | 0 | 0 | A | INACTIVE |
| Capital Assets CRD: 108215 | - | 0 | 2 | - | Unknown |
| Capital Associates, Ltd. CRD: 7271 | - | 0 | 0 | A | INACTIVE |
| Capital B Advisory Services LLC CRD: 339698 | - | 0 | 1 | - | Unknown |
| Capital B Financial Planning, LLC CRD: 311683 | - | 0 | 0 | - | Unknown |
| Capital B, LLC CRD: 337233 | - | 0 | 0 | - | Unknown |
| Capital Bank and Trust Company CRD: 170017 | - | 0 | 1 | - | Unknown |
| Capital Benchmark Partners, LLC CRD: 175099 | - | 0 | 1 | - | Unknown |
| Capital Benefit Consultants CRD: 298685 | - | 0 | 0 | - | Unknown |
| Capital Brokerage Corporation CRD: 10465 | VA | 4 | 2 | B | Active |
| Capital Builders Investment CRD: 30923 | - | 0 | 0 | A | INACTIVE |
| Capital Capability LLC CRD: 315442 | - | 0 | 0 | - | Unknown |
| Capital Choice Investment Advisers, Inc. CRD: 145932 | - | 0 | 0 | - | Unknown |
| Capital Cities Investments CRD: 116185 | - | 0 | 10 | - | Unknown |
| Capital Cities, LLC CRD: 122916 | - | 0 | 1 | - | Unknown |
| Capital City Asset Management Group, LLC CRD: 134008 | - | 0 | 6 | - | Unknown |
| Capital City Securities, LLC CRD: 146001 | OH | 4 | 4 | B | Active |
| Capital City Wealth Advisors, Inc. CRD: 282364 | - | 0 | 1 | - | Unknown |
| Capital City Wealth Management, Inc. CRD: 172199 | - | 0 | 3 | - | Unknown |
| Capital Client Group, Inc. CRD: 6247 | CA | 0 | 607 | A | Active |
| Capital Concepts Investment Corp. CRD: 7115 | - | 1 | 0 | B | INACTIVE |
| Capital Concepts Securities, Inc. CRD: 14817 | - | 0 | 0 | A | INACTIVE |
| Capital Connect, LLC CRD: 329399 | FL | 0 | 4 | A | Active |
| Capital Consultants, Inc. CRD: 10725 | - | 0 | 0 | A | INACTIVE |
| Capital Consultants, LLC CRD: 169549 | - | 0 | 0 | - | Unknown |
| Capital Consulting & Asset Management CRD: 41438 | - | 0 | 3 | - | Unknown |
| Capital Consulting Associates, Inc. CRD: 14394 | - | 0 | 0 | A | INACTIVE |
| Capital Consulting Group, Inc CRD: 152179 | - | 0 | 1 | - | Unknown |
| Capital Coordinators Company CRD: 113068 | - | 0 | 1 | - | Unknown |
| Capital Counsel LLC CRD: 109001 | - | 0 | 1 | - | Unknown |
| Capital Creation Investments LP CRD: 155438 | - | 0 | 0 | - | Unknown |
| Capital Creek Partners CRD: 301211 | - | 0 | 1 | - | Unknown |
| Capital CS Group, LLC CRD: 304523 | - | 0 | 2 | - | Unknown |
| Capital Design Ltd. CRD: 22132 | - | 0 | 0 | A | INACTIVE |
| Capital Design Private Wealth LLC CRD: 300472 | - | 0 | 1 | - | Unknown |
| Capital Designs CRD: 125617 | - | 0 | 1 | - | Unknown |
| Capital Development Group, Inc. CRD: 16679 | - | 0 | 0 | A | INACTIVE |
| Capital Directions LLC CRD: 109762 | - | 0 | 0 | - | Unknown |
| Capital Directions, Inc. CRD: 6581 | - | 0 | 0 | A | INACTIVE |
| Capital Dynamics CRD: 126931 | - | 0 | 0 | - | Unknown |
| Capital Dynamics AG CRD: 160881 | - | 0 | 0 | - | Unknown |
| Capital Dynamics Broker Dealer LLC CRD: 148780 | NY | 0 | 2 | A | Active |
| Capital Dynamics, Inc. CRD: 130320 | - | 1 | 1 | B | INACTIVE |
| Capital Dynamics, Ltd. CRD: 161055 | - | 0 | 0 | - | Unknown |
| Capital Endurance Group, Inc CRD: 284793 | - | 0 | 2 | - | Unknown |
| Capital Enhancement Group, Inc. CRD: 24628 | - | 0 | 0 | A | INACTIVE |
| Capital Enhancement, LLC CRD: 124132 | - | 0 | 1 | - | Unknown |