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 Management Services
CRD: 135617
 - 0 1 - Unknown
Capital Management Services, Inc.
CRD: 118260
 - 0 5 - Unknown
Capital Management, Inc
CRD: 32308
 - 0 0 A INACTIVE
Capital Market Consultants, Inc.
CRD: 122435
 - 0 1 - Unknown
Capital Markets Access, Inc.
CRD: 15604
 - 0 0 A INACTIVE
Capital Markets Corporation
CRD: 16730
 - 0 0 A INACTIVE
Capital Markets Growth Corporation
CRD: 36302
 - 0 0 A INACTIVE
Capital Markets IQ, LLC
CRD: 134921
 - 0 19 - Unknown
Capital Markets Research LLC
CRD: 154161
 - 0 0 - Unknown
Capital MAX, Inc.
CRD: 137539
 - 0 0 - Unknown
Capital Mortgage Management Inc
CRD: 109440
 - 0 0 - Unknown
Capital Narrative Wealth Management
CRD: 340415
 - 0 1 - Unknown
Capital North Advisors
CRD: 142649
 - 0 0 - Unknown
Capital North Ltd
CRD: 283251
 - 0 0 - Unknown
Capital of Wisconsin, Inc.
CRD: 13773
 - 0 0 A INACTIVE
Capital ONE Advisors, LLC
CRD: 136865
 - 0 0 - Unknown
Capital ONE Asset Management, LLC
CRD: 110533
 - 0 0 - Unknown
Capital ONE Investing, Inc.
CRD: 285084
 - 0 0 - Unknown
Capital ONE Investing, LLC
CRD: 45744
 - 3 0 C INACTIVE
Capital ONE Investment Services LLC
CRD: 25658
 - 4 0 C INACTIVE
Capital ONE Investments, LLC
CRD: 17526
 - 7 0 D INACTIVE
Capital ONE Securities, Inc.
CRD: 44158
 LA 3 12 C Active
Capital Options, Inc.
CRD: 309840
 - 0 0 - Unknown
Capital Partners Holdings, Inc.
CRD: 161657
 - 0 0 - Unknown
Capital Path Securities, LLC
CRD: 104363
 - 4 0 C INACTIVE
Capital Perspectives Investment Management
CRD: 123866
 - 0 0 - Unknown
Capital Placements
CRD: 10708
 - 0 0 A INACTIVE
Capital Planning Associates, Incorporated
CRD: 128863
 - 0 3 - Unknown
Capital Planning Consultants, LLC
CRD: 126260
 - 0 2 - Unknown
Capital Planning Group of Massachusetts, Inc.
CRD: 129542
 - 0 0 - Unknown
Capital Planning Group of Pennsylvania LLC
CRD: 119586
 - 0 0 A INACTIVE
Capital Planning Group, Inc.
CRD: 10785
 - 0 0 A INACTIVE
Capital Planning Group, LLC
CRD: 47397
 - 0 0 A INACTIVE
Capital Planning Group, LLC
CRD: 118921
 - 0 2 - Unknown
Capital Planning, LLC
CRD: 169470
 - 0 6 - Unknown
Capital Point Advisors, L.P.
CRD: 160777
 - 0 0 - Unknown
Capital Point Financial Group, Ltd.
CRD: 171867
 - 0 0 - Unknown
Capital Portfolio Management L.L.C.
CRD: 127372
 - 0 0 - Unknown
Capital Preservation Management
CRD: 156188
 - 0 0 - Unknown
Capital Preservation Partners, Inc.
CRD: 126340
 - 0 1 - Unknown
Capital PrivÉ Suisse S.A.
CRD: 159909
 - 0 0 - Unknown
Capital Programs, Inc.
CRD: 10887
 - 0 0 A INACTIVE
Capital Projects,Ltd.
CRD: 15569
 - 0 0 A INACTIVE
Capital Prospects LLC
CRD: 124171
 - 0 0 - Unknown
Capital Q Management LLC
CRD: 305337
 - 0 1 - Unknown
Capital Quest Securities, Inc.
CRD: 10786
 - 0 0 A INACTIVE
Capital Research & Consulting LLC
CRD: 109868
 - 0 4 - Unknown
Capital Research Advisors, LLC
CRD: 125621
 - 0 2 - Unknown
Capital Research and Design, Inc.
CRD: 16953
 - 0 0 A INACTIVE
Capital Research and Management Company
CRD: 110885
 - 0 1 - Unknown
Page 264 of 1601 (80,028 total)
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