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 |
|---|---|---|---|---|---|
| Carnegie Lake Advisors LLC CRD: 330024 | - | 0 | 1 | - | Unknown |
| Carnegie Park Capital LLC CRD: 317573 | - | 0 | 1 | - | Unknown |
| Carnegie Securities Corporation CRD: 14871 | - | 0 | 0 | A | INACTIVE |
| Carnegie, Cooke & Company Incorporated CRD: 13934 | - | 0 | 0 | A | INACTIVE |
| Carnegie, Inc. CRD: 19381 | - | 0 | 0 | A | INACTIVE |
| Carnegie, Inc. CRD: 31184 | - | 0 | 0 | A | INACTIVE |
| Carnegie-Glenn Agency, Inc. CRD: 10241 | - | 0 | 0 | A | INACTIVE |
| Carnelian Asset Management & Advisors Private Limi… CRD: 335103 | - | 0 | 0 | - | Unknown |
| Carnelian Energy Capital Management, LP CRD: 270008 | - | 0 | 1 | - | Unknown |
| Carnes Capital Corporation CRD: 16187 | FL | 5 | 2 | C | Active |
| Carnes Capital MGM. Inc. CRD: 124911 | - | 0 | 0 | - | Unknown |
| Carney & Company CRD: 10789 | - | 0 | 0 | A | INACTIVE |
| Carnick & Kubik, LLC CRD: 159115 | - | 0 | 0 | - | Unknown |
| Carnrite Ventures CRD: 311545 | - | 0 | 0 | - | Unknown |
| Carnrite Ventures CRD: 328025 | - | 0 | 1 | - | Unknown |
| Caro Investors CRD: 332085 | - | 0 | 1 | - | Unknown |
| Caro-Kann Capital LLC CRD: 174879 | - | 0 | 1 | - | Unknown |
| Carofin, LLC CRD: 298717 | NC | 0 | 2 | A | Active |
| Carolan & Co., Inc. CRD: 7016 | - | 0 | 0 | A | INACTIVE |
| Carolina Barnes Capital Inc. CRD: 28802 | - | 0 | 0 | A | INACTIVE |
| Carolina Capital Consulting, Inc. CRD: 116802 | - | 0 | 0 | - | Unknown |
| Carolina Capital Markets, Inc. CRD: 38156 | - | 3 | 0 | C | INACTIVE |
| Carolina Crypto Management, LLC CRD: 316837 | - | 0 | 0 | - | Unknown |
| Carolina Holding CRD: 47726 | - | 0 | 0 | A | INACTIVE |
| Carolina Investment Properties CRD: 17823 | - | 0 | 0 | A | INACTIVE |
| Carolina Municipal Securities, Inc. CRD: 36497 | - | 0 | 0 | A | INACTIVE |
| Carolina Planning Group LLC CRD: 146168 | - | 0 | 1 | - | Unknown |
| Carolina Qualified Retirement Plan Advisers, LLC CRD: 171534 | - | 0 | 2 | - | Unknown |
| Carolina Securities Corporation CRD: 142 | - | 0 | 0 | A | INACTIVE |
| Carolina Securities Corporation CRD: 32013 | - | 0 | 0 | A | INACTIVE |
| Carolina Strategy, LLC CRD: 324629 | - | 0 | 1 | - | Unknown |
| Carolina Wealth Advisors CRD: 288837 | - | 0 | 1 | - | Unknown |
| Carolina Wealth Strategies, LLC CRD: 172231 | - | 0 | 1 | - | Unknown |
| Carolinas First Investments, Inc. CRD: 43971 | - | 1 | 0 | B | INACTIVE |
| Carolinas Investment Consulting LLC CRD: 104379 | - | 0 | 0 | A | INACTIVE |
| Carolinas Wealth Consulting LLC CRD: 300003 | - | 0 | 0 | - | Unknown |
| Carolopolis Fiduciary Counsel, Inc. CRD: 139592 | - | 0 | 1 | - | Unknown |
| Carolyn J. Tomlinson CRD: 112288 | - | 0 | 0 | - | Unknown |
| Carom Growth Partners CRD: 307340 | - | 0 | 0 | - | Unknown |
| Carona & Hodges Securities, Inc. CRD: 17579 | - | 0 | 0 | A | INACTIVE |
| Carone, Anthony Joseph CRD: 42074 | - | 0 | 0 | A | INACTIVE |
| Carosa, Stanton & Depaolo Asset Management, LLC CRD: 104588 | - | 0 | 1 | - | Unknown |
| Carousel Capital Management Company, L.P. CRD: 157822 | - | 0 | 1 | - | Unknown |
| Carousel Group II CRD: 119726 | - | 0 | 0 | A | INACTIVE |
| Carpa Family Office CRD: 329017 | - | 0 | 0 | - | Unknown |
| Carpathian Capital, LLC CRD: 332934 | - | 0 | 1 | - | Unknown |
| Carpathian Fund I L.P. CRD: 105101 | - | 3 | 0 | C | INACTIVE |
| Carpe Diem Financial Life Planning CRD: 309092 | - | 0 | 1 | - | Unknown |
| Carpe Diem Investing CRD: 150319 | - | 0 | 0 | - | Unknown |
| Carpenter Capital Management LLC CRD: 339454 | - | 0 | 1 | - | Unknown |