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 |
|---|---|---|---|---|---|
| Carlsbad Wealth Advisory Group, Inc. CRD: 146587 | - | 0 | 1 | - | Unknown |
| Carlson Capital Management, LLC CRD: 281544 | - | 0 | 0 | - | Unknown |
| Carlson Capital, L.P. CRD: 118156 | - | 0 | 1 | - | Unknown |
| Carlson Equities Corporation CRD: 15544 | - | 0 | 0 | A | INACTIVE |
| Carlson Financial CRD: 295907 | - | 0 | 7 | - | Unknown |
| Carlson Investments CRD: 105729 | - | 0 | 2 | - | Unknown |
| Carlson National Brokers, Ltd CRD: 25056 | - | 4 | 0 | C | INACTIVE |
| Carlson Planning Company CRD: 300667 | - | 0 | 1 | - | Unknown |
| Carlson Ridge Capital CRD: 284915 | - | 0 | 1 | - | Unknown |
| Carlson Ridge Capital GP, LLC CRD: 284224 | - | 0 | 0 | - | Unknown |
| Carlson Wealth Advisors, LLC CRD: 116110 | - | 0 | 0 | - | Unknown |
| Carlson Wealth, LLC CRD: 318362 | - | 0 | 1 | - | Unknown |
| Carlton Advisors, LLC CRD: 136419 | - | 0 | 1 | - | Unknown |
| Carlton Capital Inc. CRD: 42533 | - | 4 | 0 | C | INACTIVE |
| Carlton Financial Services CRD: 297547 | - | 0 | 0 | - | Unknown |
| Carlton Hall Asset Management, LLC CRD: 136957 | - | 0 | 1 | - | Unknown |
| Carlton Investment Corporation CRD: 28425 | - | 0 | 0 | A | INACTIVE |
| Carlton Lane Capital CRD: 339148 | - | 0 | 1 | - | Unknown |
| Carlyle & Christie Capital Inc. CRD: 14810 | - | 0 | 0 | A | INACTIVE |
| Carlyle Commodity Management L.L.C. CRD: 145243 | - | 0 | 0 | - | Unknown |
| Carlyle Global Credit Investment Management L.L.C. CRD: 162053 | - | 0 | 1 | - | Unknown |
| Carlyle Liquid Market Solutions CRD: 139680 | - | 0 | 0 | - | Unknown |
| Carlyle Wealth Planning CRD: 126298 | - | 0 | 1 | - | Unknown |
| Carma Advisory Societa DI Consulenza Finanziaria S… CRD: 287658 | - | 0 | 0 | - | Unknown |
| Carman, David CRD: 32629 | - | 1 | 0 | B | INACTIVE |
| Carmel Capital Management L.L.C. CRD: 120675 | - | 0 | 1 | - | Unknown |
| Carmel Capital Partners, LLC CRD: 123907 | - | 0 | 6 | - | Unknown |
| Carmel Partners CRD: 160892 | - | 0 | 1 | - | Unknown |
| Carmelina Capital, LLC CRD: 317931 | - | 0 | 1 | - | Unknown |
| Carmen & Co., Inc. CRD: 1401 | - | 0 | 0 | A | INACTIVE |
| Carmenta Global Management, LLC CRD: 317015 | - | 0 | 0 | - | Unknown |
| Carmenta Management LLC CRD: 282026 | - | 0 | 0 | - | Unknown |
| Carmichael Creel Investments CRD: 118468 | - | 0 | 1 | - | Unknown |
| Carmichael Hill & Associates Inc CRD: 105213 | - | 0 | 0 | - | Unknown |
| Carmichael Securities Company L.L.C. CRD: 47297 | - | 1 | 0 | B | INACTIVE |
| Carmika Partners LLP CRD: 284418 | - | 0 | 0 | - | Unknown |
| Carminucci Wealth Management CRD: 140753 | - | 0 | 1 | - | Unknown |
| Carmona, Motley and Company, Inc. CRD: 21813 | - | 0 | 0 | A | INACTIVE |
| Carmot Capital LLC CRD: 167345 | - | 0 | 0 | - | Unknown |
| Carnadh Saibhris CRD: 298732 | - | 0 | 0 | - | Unknown |
| Carnahan Capital Management, LLC CRD: 328020 | - | 0 | 1 | - | Unknown |
| Carne Capital, LLC CRD: 159972 | - | 0 | 0 | - | Unknown |
| Carnegie Arch, LLC CRD: 304120 | - | 0 | 1 | - | Unknown |
| Carnegie Brokerage Corp. CRD: 16239 | - | 0 | 0 | A | INACTIVE |
| Carnegie Childs & Company L.L.C. CRD: 43819 | - | 0 | 0 | A | INACTIVE |
| Carnegie Evans Securities, Inc. CRD: 17064 | - | 0 | 0 | A | INACTIVE |
| Carnegie Fund Distributors, Inc. CRD: 10276 | - | 0 | 0 | A | INACTIVE |
| Carnegie Hill Securities Corporation CRD: 15230 | - | 0 | 0 | A | INACTIVE |
| Carnegie Investment Counsel CRD: 150488 | - | 0 | 32 | - | Unknown |
| Carnegie Investor Services Inc. CRD: 8295 | - | 4 | 0 | C | INACTIVE |