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 |
|---|---|---|---|---|---|
| Carbono3 LLC CRD: 342700 | - | 0 | 1 | - | Unknown |
| Carbyne Capital, LLC CRD: 340997 | - | 0 | 1 | - | Unknown |
| Carcon Securities Corporation CRD: 14575 | - | 0 | 0 | A | INACTIVE |
| Cardan Capital Partners, LLC CRD: 170911 | - | 0 | 0 | - | Unknown |
| Cardarelli, Paul CRD: 131161 | - | 0 | 0 | - | Unknown |
| Cardea Capital Advisors, LLC CRD: 307600 | - | 0 | 4 | - | Unknown |
| Cardea Capital Group, Inc. CRD: 311932 | - | 0 | 0 | - | Unknown |
| Carden Capital LLC CRD: 149182 | - | 0 | 0 | - | Unknown |
| Carderock Capital Management, Inc. CRD: 104570 | - | 0 | 1 | - | Unknown |
| Cardiff Capital Management, LLC CRD: 174168 | - | 0 | 1 | - | Unknown |
| Cardiff Park Advisors CRD: 126752 | - | 0 | 2 | - | Unknown |
| Cardinal Advisers LLC CRD: 284465 | - | 0 | 1 | - | Unknown |
| Cardinal Capital Group CRD: 171530 | - | 0 | 0 | - | Unknown |
| Cardinal Capital Management Inc CRD: 108076 | - | 0 | 1 | - | Unknown |
| Cardinal Capital Management, Inc. CRD: 24605 | - | 8 | 0 | D | INACTIVE |
| Cardinal Capital Management, Inc. CRD: 124729 | - | 0 | 0 | - | Unknown |
| Cardinal Capital Management, L.L.C. CRD: 109824 | - | 0 | 0 | - | Unknown |
| Cardinal Capital Management, LLC CRD: 135677 | - | 0 | 2 | - | Unknown |
| Cardinal Companies, LLC CRD: 333429 | - | 0 | 1 | - | Unknown |
| Cardinal CSP Investments GP, Inc. CRD: 307463 | - | 0 | 1 | - | Unknown |
| Cardinal Equity Partners, LLC CRD: 163842 | - | 0 | 0 | - | Unknown |
| Cardinal Financial CRD: 169011 | - | 0 | 0 | - | Unknown |
| Cardinal Financial Consultants, LLC CRD: 147918 | - | 0 | 2 | - | Unknown |
| Cardinal Financial Equities, Inc. CRD: 17424 | - | 0 | 0 | A | INACTIVE |
| Cardinal Financial Planning L.L.C. CRD: 136820 | - | 0 | 0 | - | Unknown |
| Cardinal Investment Advisors, L.L.C. CRD: 116418 | - | 0 | 0 | - | Unknown |
| Cardinal Investments, Inc. CRD: 36838 | IL | 1 | 2 | B | Active |
| Cardinal Mark LLC CRD: 143659 | - | 0 | 1 | - | Unknown |
| Cardinal Planning Group CRD: 165791 | - | 0 | 0 | - | Unknown |
| Cardinal Point Capital LLC CRD: 141166 | - | 0 | 1 | - | Unknown |
| Cardinal Point Wealth Management CRD: 140619 | - | 0 | 7 | - | Unknown |
| Cardinal Retirement Planning, Inc. CRD: 166545 | - | 0 | 3 | - | Unknown |
| Cardinal Securities Corporation CRD: 10521 | - | 0 | 0 | A | INACTIVE |
| Cardinal Securities LLC CRD: 46731 | - | 0 | 0 | A | INACTIVE |
| Cardinal Sign Advisory, LLC CRD: 315633 | - | 0 | 0 | - | Unknown |
| Cardinal Trading CRD: 6657 | - | 0 | 0 | A | INACTIVE |
| Cardinal Venture Capital CRD: 162990 | - | 0 | 0 | - | Unknown |
| Cardinal Wealth Advisors, L.L.C. CRD: 134758 | - | 0 | 1 | - | Unknown |
| Cardinal Wealth Advisory, LLC CRD: 136659 | - | 0 | 1 | - | Unknown |
| Cardinal Wealth Management CRD: 324753 | - | 0 | 1 | - | Unknown |
| Cardinal Wealth Partners, LLC CRD: 326142 | - | 0 | 1 | - | Unknown |
| Cardone Wealth Advisors CRD: 337559 | - | 0 | 1 | - | Unknown |
| Cardy & Co.,Incorporated CRD: 16162 | - | 0 | 0 | A | INACTIVE |
| Cardyf Company Investments CRD: 168231 | - | 0 | 0 | - | Unknown |
| Care Capital, LLC CRD: 159669 | - | 0 | 0 | - | Unknown |
| Care Corporation CRD: 14594 | - | 0 | 0 | A | INACTIVE |
| Care Equity Capital Management, L.P. CRD: 312131 | - | 0 | 1 | - | Unknown |
| Carefree Investment Consulting CRD: 316197 | - | 0 | 1 | - | Unknown |
| Caregen Wealth Management CRD: 315313 | - | 0 | 1 | - | Unknown |
| Carew Carswell Co. CRD: 126294 | - | 0 | 0 | - | Unknown |