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 Technology, Inc. CRD: 27017 | - | 1 | 0 | B | INACTIVE |
| Capital Today China CRD: 163408 | - | 0 | 0 | - | Unknown |
| Capital Today China Growth Management II Limited CRD: 283436 | - | 0 | 0 | - | Unknown |
| Capital Today Evergreen Management Limited CRD: 283424 | - | 0 | 0 | - | Unknown |
| Capital Today River Management Limited CRD: 300303 | - | 0 | 0 | - | Unknown |
| Capital Trading Advisory Group, L.L.C. CRD: 171456 | - | 0 | 0 | - | Unknown |
| Capital Trust Advisors CRD: 134174 | - | 0 | 4 | - | Unknown |
| Capital Trust and Associates LLC CRD: 168455 | - | 0 | 2 | - | Unknown |
| Capital Trust Wealth Management CRD: 150860 | - | 0 | 1 | - | Unknown |
| Capital United Investments LLC CRD: 312447 | - | 0 | 1 | - | Unknown |
| Capital United, LLC CRD: 285616 | - | 0 | 6 | - | Unknown |
| Capital V Group LLC CRD: 297266 | - | 0 | 2 | - | Unknown |
| Capital View Wealth Management, LLC CRD: 126653 | - | 0 | 1 | - | Unknown |
| Capital Wealth Advisors CRD: 141079 | - | 0 | 0 | - | Unknown |
| Capital Wealth Advisors, Inc. CRD: 108688 | - | 0 | 0 | A | INACTIVE |
| Capital Wealth Advisors, LLC CRD: 150903 | - | 0 | 0 | - | Unknown |
| Capital Wealth Advisors, Ltd. CRD: 155263 | - | 0 | 1 | - | Unknown |
| Capital Wealth Alliance, LLC CRD: 298257 | - | 0 | 1 | - | Unknown |
| Capital Wealth Associates, LLC CRD: 166658 | - | 0 | 1 | - | Unknown |
| Capital Wealth Group LLC CRD: 324003 | - | 0 | 1 | - | Unknown |
| Capital Wealth Investments CRD: 311698 | - | 0 | 1 | - | Unknown |
| Capital Wealth Management CRD: 137223 | - | 0 | 1 | - | Unknown |
| Capital Wealth Management Group CRD: 285566 | - | 0 | 0 | - | Unknown |
| Capital Wealth Planners, LLC CRD: 154990 | - | 0 | 1 | - | Unknown |
| Capital Wealth Planning, LLC CRD: 150764 | - | 0 | 7 | - | Unknown |
| Capital Wealth Strategies LLC CRD: 304869 | - | 0 | 0 | - | Unknown |
| Capital Wealth Strategies, LLC CRD: 282818 | - | 0 | 1 | - | Unknown |
| Capital Wealth, LLC CRD: 289574 | - | 0 | 1 | - | Unknown |
| Capital Wealthcare Advisors, L.C. CRD: 142645 | - | 0 | 0 | - | Unknown |
| Capital West Financial Advisers CRD: 282881 | - | 0 | 0 | - | Unknown |
| Capital West Investment Group, Inc. CRD: 39446 | - | 0 | 0 | A | INACTIVE |
| Capital West Partners, LLC CRD: 130762 | - | 0 | 1 | - | Unknown |
| Capital West Securities, Inc. CRD: 13556 | - | 0 | 0 | A | INACTIVE |
| Capital Wise Advisory CRD: 329915 | - | 0 | 1 | - | Unknown |
| Capital World Securities Corp CRD: 32384 | - | 0 | 0 | A | INACTIVE |
| Capital Y Management LLC CRD: 317297 | - | 0 | 0 | - | Unknown |
| Capital Z Asset Management, LLC CRD: 162210 | - | 0 | 1 | - | Unknown |
| Capital Z Investment Partners (Hong Kong) Limited CRD: 159847 | - | 0 | 0 | - | Unknown |
| Capital Z Partners Management, LLC CRD: 157048 | - | 0 | 1 | - | Unknown |
| Capital Z Securities, LLC CRD: 124195 | - | 0 | 0 | A | INACTIVE |
| Capital, Inc. CRD: 14993 | - | 0 | 0 | A | INACTIVE |
| Capital-E-Advisors CRD: 297820 | - | 0 | 2 | - | Unknown |
| Capital360Financial CRD: 297178 | - | 0 | 1 | - | Unknown |
| Capitala Securities, LLC CRD: 304095 | NC | 0 | 3 | A | Active |
| Capitalade CRD: 339634 | - | 0 | 1 | - | Unknown |
| Capitalalphabet CRD: 322498 | - | 0 | 1 | - | Unknown |
| Capitalengine Securities, Inc. CRD: 103761 | - | 0 | 0 | A | INACTIVE |
| Capitalia (Suisse) CRD: 164222 | - | 0 | 0 | - | Unknown |
| Capitalia Advisors LLC CRD: 173030 | - | 0 | 2 | - | Unknown |
| Capitalink Bond Auctions, Inc. CRD: 17089 | - | 0 | 0 | A | INACTIVE |