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 |
|---|---|---|---|---|---|
| Capstone, LLC CRD: 174403 | - | 0 | 1 | - | Unknown |
| Capstonewealth CRD: 328380 | - | 0 | 1 | - | Unknown |
| Captar Private Wealth CRD: 325537 | - | 0 | 1 | - | Unknown |
| Captec Securities Corporation CRD: 42304 | - | 0 | 0 | A | INACTIVE |
| Caption Management, LLC CRD: 173841 | - | 0 | 1 | - | Unknown |
| Captivex Securities LLC CRD: 332134 | FL | 0 | 2 | A | Active |
| Captrust CRD: 175112 | - | 0 | 860 | - | Unknown |
| Captrust Advisors, LLC CRD: 142941 | - | 0 | 0 | - | Unknown |
| Captrust Securities Corporation CRD: 35719 | - | 0 | 0 | A | INACTIVE |
| Captrust Wealth Advisors CRD: 173736 | - | 0 | 1 | - | Unknown |
| Capuchin Capital CRD: 335634 | - | 0 | 1 | - | Unknown |
| Capula Investment Japan Limited CRD: 163365 | - | 0 | 0 | - | Unknown |
| Capula Investment Management (ME) Limited CRD: 341256 | - | 0 | 0 | - | Unknown |
| Capula Investment Management Jersey Limited CRD: 286404 | - | 0 | 0 | - | Unknown |
| Capula Investment Management Switzerland Sarl CRD: 338211 | - | 0 | 0 | - | Unknown |
| Capula Investment US LP CRD: 157589 | - | 0 | 1 | - | Unknown |
| Capulent LLC CRD: 155155 | AZ | 0 | 5 | A | Active |
| Caputo, Michael William CRD: 43776 | - | 0 | 0 | A | INACTIVE |
| Capvent AG CRD: 164475 | - | 0 | 0 | - | Unknown |
| Capvest Partners LLP CRD: 161967 | - | 0 | 0 | - | Unknown |
| Capvest Partners, Inc. CRD: 324459 | - | 0 | 1 | - | Unknown |
| Capview Advisors, LLC. CRD: 173319 | - | 0 | 2 | - | Unknown |
| Capvis AG CRD: 310701 | - | 0 | 0 | - | Unknown |
| Capvis Equity Partners AG CRD: 162994 | - | 0 | 0 | - | Unknown |
| Capwealth Advisors, LLC CRD: 148781 | - | 0 | 1 | - | Unknown |
| Capwest Securities, Inc. CRD: 30002 | - | 13 | 0 | D | INACTIVE |
| Capybara Management, LLC CRD: 284209 | - | 0 | 1 | - | Unknown |
| Capzone Management LLC CRD: 330135 | - | 0 | 1 | - | Unknown |
| Cara Portfolio Management Limited CRD: 148094 | - | 0 | 0 | - | Unknown |
| Caracansi Ibrahim & Co LLC CRD: 173230 | - | 0 | 0 | - | Unknown |
| Caraly & Company Securities,Inc. CRD: 14695 | - | 0 | 0 | A | INACTIVE |
| Caravan Capital Management LLC CRD: 148301 | - | 0 | 0 | - | Unknown |
| Caravan Management, LLC CRD: 311590 | - | 0 | 1 | - | Unknown |
| Caravan Ventures, LLC CRD: 331707 | - | 0 | 1 | - | Unknown |
| Caravel Management LLC CRD: 140701 | - | 0 | 0 | - | Unknown |
| Caravel Management LLC CRD: 319163 | - | 0 | 0 | - | Unknown |
| Caravela Energy Partners LP CRD: 323131 | - | 0 | 1 | - | Unknown |
| Caray Securities Co., Inc. CRD: 15003 | - | 0 | 0 | A | INACTIVE |
| Carbahal Olsen Financial Services Group LLC CRD: 151765 | - | 0 | 3 | - | Unknown |
| Carbide Ventures CRD: 319214 | - | 0 | 1 | - | Unknown |
| Carbon Beach Asset Management, LLC CRD: 281228 | - | 0 | 0 | - | Unknown |
| Carbon Capital Advisors LLC CRD: 155840 | - | 0 | 0 | - | Unknown |
| Carbon Collective Investing, LLC CRD: 310129 | - | 0 | 6 | - | Unknown |
| Carbon Direct Capital Management LLC CRD: 317548 | - | 0 | 1 | - | Unknown |
| Carbon Infrastructure Partners Corp. CRD: 159707 | - | 0 | 0 | - | Unknown |
| Carbon Removal Partners (USA) LLC CRD: 338052 | - | 0 | 1 | - | Unknown |
| Carbon Removal Partners AG CRD: 338056 | - | 0 | 0 | - | Unknown |
| Carbon Wealth Management CRD: 331891 | - | 0 | 2 | - | Unknown |
| Carbonado Capital LLC CRD: 174455 | - | 0 | 0 | - | Unknown |
| Carbone Personal Financial Planning Services CRD: 155661 | - | 0 | 0 | - | Unknown |