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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Capital Guard Investments LLC
CRD: 329362
 - 0 2 - Unknown
Capital Guardian (Canada), Inc.
CRD: 110681
 - 0 0 - Unknown
Capital Guardian Trust Company
CRD: 108236
 - 0 0 - Unknown
Capital Guardian Wealth Management, LLC
CRD: 131631
 - 0 0 - Unknown
Capital Guardian, LLC
CRD: 137919
 - 5 0 C INACTIVE
Capital Hill Group, Inc.
CRD: 10323
 TX 3 2 B Active
Capital Ideas
CRD: 114352
 - 0 3 - Unknown
Capital Ideas, Inc.
CRD: 15235
 - 0 0 A INACTIVE
Capital Innovators Management Company, LLC
CRD: 315782
 - 0 1 - Unknown
Capital Insight Brokerage
CRD: 21365
 - 0 0 A INACTIVE
Capital Insights Group of WNY, LLC.
CRD: 282909
 - 0 1 - Unknown
Capital Integrated
CRD: 286392
 - 0 0 - Unknown
Capital Intelligence Advisors, Inc.
CRD: 127023
 - 0 3 - Unknown
Capital Intermediary Group, Ltd.
CRD: 15856
 - 0 0 A INACTIVE
Capital International Securities Group, Inc.
CRD: 29771
 - 0 0 A INACTIVE
Capital International, Inc.
CRD: 110682
 - 0 1 - Unknown
Capital Invest International (CII)
CRD: 159521
 - 0 0 - Unknown
Capital Investment Advisors, Inc
CRD: 158099
 - 0 0 - Unknown
Capital Investment Advisory Services, LLC
CRD: 149124
 - 0 96 - Unknown
Capital Investment Brokerage, Inc.
CRD: 40657
 NC 1 10 B Active
Capital Investment Counsel Inc
CRD: 104591
 - 0 4 - Unknown
Capital Investment Counsel, LLC
CRD: 328472
 - 0 4 - Unknown
Capital Investment Exchange, Inc.
CRD: 39750
 - 0 0 A INACTIVE
Capital Investment Group, Inc.
CRD: 14752
 NC 10 82 B Active
Capital Investment Management Inc.
CRD: 145985
 - 0 0 - Unknown
Capital Investment Management Inc.
CRD: 122600
 - 0 1 - Unknown
Capital Investment Management, Inc
CRD: 113917
 - 0 3 - Unknown
Capital Investment Managers, Inc.
CRD: 19183
 - 0 0 A INACTIVE
Capital Investment Services of America Inc
CRD: 110639
 - 0 4 - Unknown
Capital Investment Services, Inc.
CRD: 120357
 - 0 0 - Unknown
Capital Investment Services, LLC
CRD: 121567
 - 0 3 - Unknown
Capital Investments International Inc.
CRD: 37643
 - 0 0 A INACTIVE
Capital Investments, Inc.
CRD: 11269
 - 0 0 A INACTIVE
Capital Investors Advisory Corporation
CRD: 105467
 - 0 1 - Unknown
Capital IP Investment Partners LP
CRD: 326733
 - 0 1 - Unknown
Capital K
CRD: 330562
 - 0 1 - Unknown
Capital Laboratories Inc.
CRD: 282934
 - 0 0 - Unknown
Capital Links, Inc.
CRD: 31031
 - 0 0 A INACTIVE
Capital M Group, LLC
CRD: 170617
 - 0 0 - Unknown
Capital Management Associates Inc
CRD: 105010
 - 0 8 - Unknown
Capital Management Consultants, Inc.
CRD: 19935
 - 0 1 A INACTIVE
Capital Management Group
CRD: 292838
 - 0 0 - Unknown
Capital Management Group of Washington D.C.
CRD: 289076
 - 0 0 - Unknown
Capital Management Group, Inc.
CRD: 109898
 - 0 3 - Unknown
Capital Management International
CRD: 27511
 - 0 0 A INACTIVE
Capital Management Investor Services, Inc.
CRD: 126173
 - 0 1 - Unknown
Capital Management LLC
CRD: 109416
 - 0 1 - Unknown
Capital Management of the Carolinas, LLC
CRD: 110643
 NC 0 2 A Active
Capital Management Resources, LLC
CRD: 117283
 - 0 0 - Unknown
Capital Management Sciences, a California Corporat…
CRD: 15653
 - 0 0 A INACTIVE
Page 263 of 1601 (80,028 total)
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