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 Equity Corporation CRD: 17105 | - | 0 | 0 | A | INACTIVE |
| Capital Equity Securities Group CRD: 20875 | - | 0 | 0 | A | INACTIVE |
| Capital ERH LLC CRD: 288218 | - | 0 | 0 | - | Unknown |
| Capital Estate Advisors, Inc. CRD: 112098 | - | 0 | 2 | - | Unknown |
| Capital Executive Solutions CRD: 292152 | - | 0 | 0 | - | Unknown |
| Capital Expansion Group, Inc. CRD: 16067 | - | 0 | 0 | A | INACTIVE |
| Capital Express Corp. CRD: 8410 | - | 0 | 0 | A | INACTIVE |
| Capital F Partners, LLC CRD: 335378 | - | 0 | 1 | - | Unknown |
| Capital Factory CRD: 192514 | - | 0 | 1 | - | Unknown |
| Capital Factory Ventures Management II, LLC CRD: 341386 | - | 0 | 1 | - | Unknown |
| Capital Factory Ventures Management, LLC CRD: 315354 | - | 0 | 1 | - | Unknown |
| Capital Fiduciary Advisors CRD: 312704 | - | 0 | 1 | - | Unknown |
| Capital Financial Advisors of NEW York, LLC CRD: 125689 | - | 0 | 1 | - | Unknown |
| Capital Financial Boise, Inc. CRD: 174089 | - | 0 | 1 | - | Unknown |
| Capital Financial Consultants Group, Inc. CRD: 133657 | - | 0 | 3 | - | Unknown |
| Capital Financial Group Inc. CRD: 128411 | - | 0 | 0 | - | Unknown |
| Capital Financial Group, Inc. CRD: 111709 | - | 0 | 4 | - | Unknown |
| Capital Financial Insurance Associates, Inc. CRD: 18709 | - | 0 | 0 | A | INACTIVE |
| Capital Financial Management CRD: 130841 | - | 0 | 1 | - | Unknown |
| Capital Financial Management NC, Inc CRD: 157353 | - | 0 | 1 | - | Unknown |
| Capital Financial Partners of Florida, LLC CRD: 173693 | - | 0 | 0 | - | Unknown |
| Capital Financial Planners CRD: 310168 | - | 0 | 1 | - | Unknown |
| Capital Financial, LLC CRD: 122844 | - | 0 | 2 | - | Unknown |
| Capital Fixed Income Group, LP CRD: 130436 | - | 0 | 0 | A | INACTIVE |
| Capital Fluency CRD: 306267 | - | 0 | 1 | - | Unknown |
| Capital Focus, Inc. CRD: 17026 | - | 0 | 0 | A | INACTIVE |
| Capital Focus, Inc. CRD: 152149 | - | 0 | 1 | - | Unknown |
| Capital for Banks and Thrifts, Inc. CRD: 21403 | - | 0 | 0 | A | INACTIVE |
| Capital for Israel, Inc. CRD: 11135 | - | 0 | 0 | A | INACTIVE |
| Capital Formation Group, Inc. CRD: 14852 | - | 0 | 0 | A | INACTIVE |
| Capital Formation Group, Inc. CRD: 110958 | - | 0 | 0 | - | Unknown |
| Capital Formation, LLC CRD: 30156 | - | 0 | 0 | A | INACTIVE |
| Capital Four Aifm a/S CRD: 305862 | - | 0 | 0 | - | Unknown |
| Capital Four US Inc. CRD: 315650 | - | 0 | 1 | - | Unknown |
| Capital Fund Management International Inc. CRD: 287973 | - | 0 | 0 | - | Unknown |
| Capital Fund Management LLP CRD: 282279 | - | 0 | 0 | - | Unknown |
| Capital Fund Management S.A. CRD: 125780 | - | 0 | 0 | - | Unknown |
| Capital Fund Securities, Inc. CRD: 15347 | - | 0 | 0 | A | INACTIVE |
| Capital Gains Incorporated CRD: 111717 | - | 0 | 1 | - | Unknown |
| Capital Gains, Inc. CRD: 122313 | - | 0 | 0 | - | Unknown |
| Capital Generation Partners LLP CRD: 281808 | - | 0 | 0 | - | Unknown |
| Capital Group Private Client Services, Inc. CRD: 312837 | - | 0 | 84 | - | Unknown |
| Capital Group Private Markets, Inc. CRD: 165444 | - | 0 | 0 | - | Unknown |
| Capital Group, Inc. CRD: 10783 | - | 0 | 0 | A | INACTIVE |
| Capital Growth & Shelter, Inc. CRD: 126092 | - | 0 | 0 | - | Unknown |
| Capital Growth & Shelter,Inc. CRD: 15524 | - | 0 | 0 | A | INACTIVE |
| Capital Growth Advisors LLC CRD: 41847 | - | 0 | 0 | A | INACTIVE |
| Capital Growth Associates, Inc. CRD: 121670 | - | 0 | 0 | - | Unknown |
| Capital Growth Financial, LLC CRD: 41040 | - | 20 | 0 | F | INACTIVE |
| Capital Growth Resources CRD: 7779 | - | 4 | 0 | C | INACTIVE |