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 |
|---|---|---|---|---|---|
| Capitalize CRD: 327225 | - | 0 | 1 | - | Unknown |
| Capitalize VC, LLC CRD: 321133 | - | 0 | 1 | - | Unknown |
| Capitalmath Ltd CRD: 337794 | - | 0 | 1 | - | Unknown |
| Capitalpad Manager LLC CRD: 332356 | - | 0 | 1 | - | Unknown |
| Capitalquest Securities, Inc. CRD: 7699 | - | 1 | 0 | B | INACTIVE |
| Capitalrock Financial, LLC CRD: 281234 | - | 0 | 0 | - | Unknown |
| Capitalrock Investments, LLC CRD: 166543 | - | 0 | 0 | - | Unknown |
| Capitalspring CRD: 161372 | - | 0 | 1 | - | Unknown |
| Capitalwe CRD: 309398 | - | 0 | 0 | - | Unknown |
| Capitalwize, LLC CRD: 288124 | - | 0 | 6 | - | Unknown |
| Capitalworks Emerging Markets Advisor LP CRD: 309921 | - | 0 | 0 | - | Unknown |
| Capitalworks Private Equity Advisor Limited CRD: 168804 | - | 0 | 0 | - | Unknown |
| Capitalworks Private Equity Advisor Proprietary Li… CRD: 298759 | - | 0 | 0 | - | Unknown |
| Capitalx CRD: 310537 | - | 0 | 1 | - | Unknown |
| Capitalyst, L.L.C CRD: 104009 | - | 0 | 0 | A | INACTIVE |
| Capitect, Inc. CRD: 285965 | - | 0 | 0 | - | Unknown |
| Capitol Family Office, Inc. CRD: 312005 | - | 0 | 1 | - | Unknown |
| Capitol Financial Advisors CRD: 126864 | - | 0 | 0 | - | Unknown |
| Capitol Financial Consultants, Inc. CRD: 109800 | - | 0 | 2 | - | Unknown |
| Capitol Partners, L.LC. CRD: 161867 | - | 0 | 0 | - | Unknown |
| Capitol Peak Partners, Inc. CRD: 300020 | - | 0 | 0 | - | Unknown |
| Capitol Private Wealth Group LLC CRD: 283257 | - | 0 | 2 | - | Unknown |
| Capitol Securities & Associates, Inc. CRD: 7278 | - | 3 | 0 | C | INACTIVE |
| Capitol Securities Company CRD: 5820 | - | 0 | 0 | A | INACTIVE |
| Capitol Securities Group, Inc. CRD: 8094 | - | 0 | 0 | A | INACTIVE |
| Capitol Share Pension Services CRD: 174211 | - | 0 | 0 | - | Unknown |
| Capitol Wealth Management CRD: 287875 | - | 0 | 1 | - | Unknown |
| Capitolis Global Broker Dealer LLC CRD: 325346 | NY | 0 | 2 | A | Active |
| Capiton AG CRD: 161091 | - | 0 | 0 | - | Unknown |
| Caplan Capital Management,Incorporated CRD: 124601 | - | 0 | 0 | - | Unknown |
| Caplan Financial Group, LLC CRD: 119836 | - | 0 | 0 | - | Unknown |
| Caplan, Jason LEE CRD: 114962 | - | 0 | 0 | A | INACTIVE |
| Caplice, Sean CRD: 152871 | - | 0 | 0 | - | Unknown |
| Caplight Markets LLC CRD: 103970 | CA | 0 | 2 | A | Active |
| Caplinger Management CRD: 107967 | - | 0 | 0 | - | Unknown |
| Caplink Securities, Inc CRD: 130702 | CA | 1 | 2 | B | Active |
| Caplo Advisory LLC CRD: 312295 | - | 0 | 1 | - | Unknown |
| Capman AB CRD: 319307 | - | 0 | 0 | - | Unknown |
| Capman Capital Management Ltd CRD: 162127 | - | 0 | 0 | - | Unknown |
| Capman Infra Management OY CRD: 319306 | - | 0 | 0 | - | Unknown |
| Capman Real Estate Ltd CRD: 319305 | - | 0 | 0 | - | Unknown |
| Capmanta CRD: 168166 | - | 0 | 0 | - | Unknown |
| Capnet Securities Corporation CRD: 23669 | - | 0 | 0 | A | INACTIVE |
| Capo Creek Financial Solutions CRD: 311923 | - | 0 | 1 | - | Unknown |
| Capp and Smith, Inc. CRD: 6720 | - | 0 | 0 | A | INACTIVE |
| Cappello Capital Corp. CRD: 30124 | - | 0 | 0 | A | INACTIVE |
| Cappello Wealth Management, LLC CRD: 155000 | - | 0 | 0 | - | Unknown |
| Cappucci Insurance & Investment Agency CRD: 129526 | - | 0 | 0 | - | Unknown |
| Capra Credit Management, LLC CRD: 281736 | - | 0 | 1 | - | Unknown |
| Capra Ibex Advisors LLC CRD: 160834 | - | 0 | 0 | - | Unknown |