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 |
|---|---|---|---|---|---|
| Carey Credit Advisors, LLC CRD: 173726 | - | 0 | 0 | - | Unknown |
| Carey Financial, LLC CRD: 15246 | - | 3 | 0 | C | INACTIVE |
| Carey Jamison & Company CRD: 14129 | - | 0 | 0 | A | INACTIVE |
| Carey S. Roebuck Financial Services, LLC CRD: 280029 | - | 0 | 1 | - | Unknown |
| Carey Wealth Management CRD: 173885 | - | 0 | 1 | - | Unknown |
| Carey, Patrick Joseph CRD: 142565 | - | 0 | 2 | - | Unknown |
| Carey, Thomas & Associates, Inc. CRD: 8607 | - | 7 | 0 | D | INACTIVE |
| Carey, Thomas, Hoover & Breault Advisors CRD: 155330 | - | 0 | 0 | - | Unknown |
| Carey, Thomas, Hoover, & Breault, Inc. CRD: 38367 | - | 1 | 0 | B | INACTIVE |
| Careyes Corporation CRD: 24355 | - | 0 | 0 | A | INACTIVE |
| Cargill Capital Markets, Inc. CRD: 17469 | - | 0 | 0 | A | INACTIVE |
| Cargill Investor Services, Inc. CRD: 20745 | - | 17 | 0 | F | INACTIVE |
| Caribbean Investment & Acquisition Corp. CRD: 286409 | - | 0 | 0 | - | Unknown |
| Caribou Energy Capital Corporation CRD: 15272 | - | 0 | 0 | A | INACTIVE |
| Carillon Advisors, LLC CRD: 312498 | - | 0 | 0 | - | Unknown |
| Carillon Fund Distributors, Inc. CRD: 139749 | FL | 0 | 9 | A | Active |
| Carillon Investments, Inc. CRD: 14646 | - | 1 | 0 | B | INACTIVE |
| Carion Doty Advisors LLC CRD: 120866 | - | 0 | 3 | - | Unknown |
| Caris & Company, Inc. CRD: 104235 | - | 1 | 0 | B | INACTIVE |
| Caris Investment Partners CRD: 305511 | - | 0 | 1 | - | Unknown |
| Carissima Capital LLC CRD: 331292 | - | 0 | 1 | - | Unknown |
| Caritas Wealth Management, Inc. CRD: 167480 | - | 0 | 0 | - | Unknown |
| Carl & Company, Incorporated CRD: 7473 | - | 0 | 0 | A | INACTIVE |
| Carl a. Schopfer D/B/a C. Albert Schopfer Financia… CRD: 117055 | - | 0 | 0 | - | Unknown |
| Carl Domino Inc. CRD: 131528 | - | 0 | 1 | - | Unknown |
| Carl F. Petersen. Inc CRD: 109489 | - | 0 | 6 | - | Unknown |
| Carl Glick Company CRD: 7803 | - | 0 | 0 | A | INACTIVE |
| Carl H. Pforzheimer & Co. CRD: 3024 | - | 4 | 0 | C | INACTIVE |
| Carl M. Hennig, Inc. CRD: 140 | WI | 3 | 4 | B | Active |
| Carl Marks & Co., Inc. CRD: 2666 | - | 0 | 0 | A | INACTIVE |
| Carl Marks & Co., Inc. CRD: 25555 | - | 0 | 0 | A | INACTIVE |
| Carl Marks Management Company, LLC CRD: 107695 | - | 0 | 1 | - | Unknown |
| Carl Marks Securities LLC CRD: 144209 | NY | 0 | 3 | A | Active |
| Carl P. Sherr & Co., LLC CRD: 3394 | - | 2 | 1 | B | INACTIVE |
| Carl W. Large, an Accountancy Corporation CRD: 135681 | - | 0 | 1 | - | Unknown |
| Carla Voss Genelly CRD: 132849 | - | 0 | 2 | - | Unknown |
| Carleton Capital Group, LLC CRD: 317305 | - | 0 | 1 | - | Unknown |
| Carleton D. BEH Co. CRD: 7090 | - | 0 | 0 | A | INACTIVE |
| Carleton, Mccreary, Holmes & Co. CRD: 31577 | - | 0 | 0 | A | INACTIVE |
| Carlile and Company, Ltd. CRD: 10788 | - | 0 | 0 | A | INACTIVE |
| Carlin & Shats, LLC CRD: 137010 | - | 0 | 0 | - | Unknown |
| Carlin Equities, LLC CRD: 31295 | - | 12 | 0 | D | INACTIVE |
| Carlino, LEO F CRD: 47978 | - | 0 | 0 | A | INACTIVE |
| Carlisle Asset Management CRD: 141334 | - | 0 | 0 | - | Unknown |
| Carlisle Financial Group, LLC CRD: 157415 | - | 0 | 1 | - | Unknown |
| Carlisle Investment Group, Ltd. CRD: 16349 | - | 0 | 0 | A | INACTIVE |
| Carlisle Management Company S.C.A. CRD: 286131 | - | 0 | 0 | - | Unknown |
| Carlisle TAX Credit Advisors CRD: 151461 | - | 0 | 1 | - | Unknown |
| Carlo Capital CRD: 331801 | - | 0 | 0 | - | Unknown |
| Carlos Veytia & Associates, Inc. CRD: 105591 | - | 0 | 0 | A | INACTIVE |