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 |
|---|---|---|---|---|---|
| Carpenter Financial Group, LLC CRD: 326966 | - | 0 | 0 | - | Unknown |
| Carpenter Financial, Inc CRD: 173503 | - | 0 | 0 | - | Unknown |
| Carpenter Fund Management Company, LLC CRD: 281052 | - | 0 | 0 | - | Unknown |
| Carpenter, Claydon Advisors, Inc. CRD: 143516 | - | 0 | 2 | - | Unknown |
| Carr & Thompson, Inc. CRD: 1405 | - | 0 | 0 | A | INACTIVE |
| Carr Capital Management CRD: 201512 | - | 0 | 1 | - | Unknown |
| Carr Consulting P.A. CRD: 129350 | - | 0 | 1 | - | Unknown |
| Carr Financial Group CRD: 317321 | - | 0 | 5 | - | Unknown |
| Carr Securities Corporation CRD: 1404 | - | 13 | 0 | D | INACTIVE |
| Carr Trading Limited Partnership CRD: 40695 | - | 0 | 0 | A | INACTIVE |
| Carr Trading LLC CRD: 104335 | - | 0 | 0 | A | INACTIVE |
| Carr Wealth Management LLC CRD: 281343 | - | 0 | 1 | - | Unknown |
| Carr's Hill Partners CRD: 305205 | - | 0 | 3 | - | Unknown |
| Carr-Friesenhahn & Company, Inc. CRD: 6606 | - | 1 | 0 | B | INACTIVE |
| Carrack Capital Inc. CRD: 322059 | - | 0 | 1 | - | Unknown |
| Carraighill CRD: 290703 | - | 0 | 0 | - | Unknown |
| Carrano Financial Planning, LLC CRD: 287989 | - | 0 | 0 | - | Unknown |
| Carrara Wealth Management CRD: 340803 | - | 0 | 1 | - | Unknown |
| Carreden Group, Inc. CRD: 30717 | - | 0 | 0 | A | INACTIVE |
| Carrera Capital Advisors CRD: 330834 | - | 0 | 2 | - | Unknown |
| Carret and Company, Inc. CRD: 1406 | - | 0 | 0 | A | INACTIVE |
| Carrhae Capital CRD: 161900 | - | 0 | 0 | - | Unknown |
| Carrhae Capital (Difc) Limited CRD: 337385 | - | 0 | 0 | - | Unknown |
| Carriage Hill Investment Associates LLC CRD: 304487 | - | 0 | 1 | - | Unknown |
| Carriage House Planning LLC CRD: 309068 | - | 0 | 1 | - | Unknown |
| Carriage Services Investment Advisors, Inc. CRD: 164325 | - | 0 | 1 | - | Unknown |
| Carrick Bend Advisors LLC CRD: 130365 | - | 0 | 0 | - | Unknown |
| Carrick Capital Partners CRD: 165915 | - | 0 | 1 | - | Unknown |
| Carrick Lane LLC CRD: 309148 | - | 0 | 1 | - | Unknown |
| Carrie Houchins-Witt TAX and Financial Services LL… CRD: 171715 | - | 0 | 1 | - | Unknown |
| Carrier Capital Management CRD: 124140 | - | 0 | 0 | - | Unknown |
| Carrington Capital Management, LLC CRD: 130813 | - | 0 | 1 | - | Unknown |
| Carrington Prime LLC CRD: 170522 | - | 0 | 0 | - | Unknown |
| Carroll & Company Capital Management CRD: 135185 | - | 0 | 1 | - | Unknown |
| Carroll Advisory Group CRD: 334565 | - | 0 | 2 | - | Unknown |
| Carroll Consultants Advisors, Ltd. CRD: 159836 | - | 0 | 0 | - | Unknown |
| Carroll Financial Group, Inc. CRD: 139704 | - | 0 | 1 | - | Unknown |
| Carroll Frank & Plotkin LLC CRD: 112280 | - | 0 | 1 | - | Unknown |
| Carroll Investments, LLC CRD: 316884 | - | 0 | 0 | - | Unknown |
| Carroll Investors, Inc. CRD: 311180 | - | 0 | 1 | - | Unknown |
| Carroll Street Capital CRD: 334083 | - | 0 | 1 | - | Unknown |
| Carroll Wealth Management Inc. CRD: 152211 | - | 0 | 1 | - | Unknown |
| Carrollton Mineral Partners GP, LP CRD: 162202 | - | 0 | 1 | - | Unknown |
| Carrollton/Howard, Inc. CRD: 15731 | - | 0 | 0 | A | INACTIVE |
| Carrollwood Capital Management, LP CRD: 322526 | - | 0 | 0 | - | Unknown |
| Carronade Capital Management, LP CRD: 309174 | - | 0 | 1 | - | Unknown |
| Carrot Advisers LLC CRD: 137189 | - | 0 | 0 | - | Unknown |
| Carrthaxton Financial Group CRD: 174135 | - | 0 | 0 | - | Unknown |
| Carrvest, Inc. CRD: 16423 | - | 0 | 0 | A | INACTIVE |
| Carry Advisors LLC CRD: 323620 | - | 0 | 1 | - | Unknown |