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 |
|---|---|---|---|---|---|
| Capra Ibex Credit Opportunities, LLC CRD: 332538 | - | 0 | 1 | - | Unknown |
| Capra Ventures Management, LLC CRD: 338657 | - | 0 | 1 | - | Unknown |
| Capri Capital Partners, LLC CRD: 109272 | - | 0 | 0 | - | Unknown |
| Capri EGM, LLC CRD: 304389 | - | 0 | 1 | - | Unknown |
| Capria Ventures LLC CRD: 284129 | - | 0 | 1 | - | Unknown |
| Caprice Capital Partners, LLC CRD: 307048 | - | 0 | 1 | - | Unknown |
| Capricorn Investment Group LLC CRD: 147417 | - | 0 | 2 | - | Unknown |
| Capridge Advisors CRD: 330404 | - | 0 | 1 | - | Unknown |
| Capro Capital CRD: 173686 | - | 0 | 0 | A | INACTIVE |
| Caprock Capital Advisors Inc. CRD: 170672 | - | 0 | 1 | - | Unknown |
| Caprock Management, LLC CRD: 171263 | - | 0 | 0 | - | Unknown |
| Caprock Securities, Inc. CRD: 8014 | - | 8 | 0 | D | INACTIVE |
| Caprock Services, Ltd. CRD: 47899 | - | 0 | 0 | A | INACTIVE |
| Caprock Wealth Management CRD: 333678 | - | 0 | 1 | - | Unknown |
| Capshift Advisors CRD: 309860 | - | 0 | 1 | - | Unknown |
| Capsouth Wealth Management CRD: 132517 | - | 0 | 10 | - | Unknown |
| Capsquare Asia Partners PTE. Ltd. CRD: 325912 | - | 0 | 0 | - | Unknown |
| Capsquare Management Ltd. CRD: 165658 | - | 0 | 0 | - | Unknown |
| Capstack Partners CRD: 289091 | - | 0 | 0 | - | Unknown |
| Capstan LLC CRD: 111937 | - | 0 | 3 | - | Unknown |
| Capstar Partners, LLC CRD: 29000 | - | 0 | 0 | A | INACTIVE |
| Capstone Advisory Group LLC CRD: 153443 | - | 0 | 0 | - | Unknown |
| Capstone Capital Asset Management, Inc. CRD: 283895 | - | 0 | 0 | - | Unknown |
| Capstone Capital Wealth Advisors CRD: 123764 | - | 0 | 1 | - | Unknown |
| Capstone Capital Wealth Management, LLC CRD: 166399 | - | 0 | 0 | - | Unknown |
| Capstone Equities Manager, LLC CRD: 169859 | - | 0 | 0 | - | Unknown |
| Capstone Financial CRD: 291312 | - | 0 | 0 | - | Unknown |
| Capstone Financial Group, Inc CRD: 299819 | - | 0 | 0 | - | Unknown |
| Capstone Financial LLC CRD: 308007 | - | 0 | 0 | - | Unknown |
| Capstone Global Advisors, LLC CRD: 277104 | - | 0 | 1 | - | Unknown |
| Capstone Global Investments, LLC CRD: 282652 | - | 0 | 0 | - | Unknown |
| Capstone Global Markets, LLC CRD: 143612 | - | 1 | 0 | B | INACTIVE |
| Capstone Investment Advisors, LLC CRD: 155563 | - | 0 | 1 | - | Unknown |
| Capstone Investment Financial Group, LLC CRD: 122575 | - | 0 | 3 | - | Unknown |
| Capstone Investment Group CRD: 159918 | - | 0 | 2 | - | Unknown |
| Capstone Investments CRD: 41400 | - | 5 | 0 | C | INACTIVE |
| Capstone Partners CRD: 132185 | MA | 1 | 15 | B | Active |
| Capstone Partners, L.C. CRD: 35784 | - | 1 | 0 | B | INACTIVE |
| Capstone RIA CRD: 334343 | - | 0 | 3 | - | Unknown |
| Capstone Securities Corporation CRD: 7825 | - | 5 | 0 | C | INACTIVE |
| Capstone Trading L.L.C. CRD: 131785 | - | 2 | 0 | B | INACTIVE |
| Capstone Wealth CRD: 130128 | - | 0 | 5 | - | Unknown |
| Capstone Wealth Advisors, LLC CRD: 332360 | - | 0 | 1 | - | Unknown |
| Capstone Wealth Advisors, LLC CRD: 287670 | - | 0 | 1 | - | Unknown |
| Capstone Wealth Advisors,Inc. CRD: 122357 | - | 0 | 2 | - | Unknown |
| Capstone Wealth Management Corp. CRD: 165359 | - | 0 | 2 | - | Unknown |
| Capstone Wealth Management Group, Inc. CRD: 340135 | - | 0 | 2 | - | Unknown |
| Capstone Wealth Management Group, LLC CRD: 128097 | - | 0 | 2 | - | Unknown |
| Capstone Wealth Management, Inc CRD: 172040 | - | 0 | 1 | - | Unknown |
| Capstone Wealth Partners CRD: 152524 | - | 0 | 3 | - | Unknown |