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 |
|---|---|---|---|---|---|
| Carson Advisory Group CRD: 117410 | - | 0 | 4 | - | Unknown |
| Carson Capital CRD: 314563 | - | 0 | 1 | - | Unknown |
| Carson Choice Retirement Solutions, Inc. CRD: 141450 | - | 0 | 0 | - | Unknown |
| Carson Group Brokerage, LLC CRD: 293448 | NE | 0 | 2 | A | Active |
| Carson Group Investing CRD: 291744 | - | 0 | 6 | - | Unknown |
| Carson Management Company, LLC CRD: 153261 | - | 0 | 3 | - | Unknown |
| Carsons Capital LLC CRD: 333489 | - | 0 | 1 | - | Unknown |
| Cart Securities, L.P. CRD: 125201 | - | 0 | 0 | A | INACTIVE |
| Carta Capital Markets, LLC CRD: 304751 | - | 0 | 0 | A | INACTIVE |
| Carta Financiera CRD: 306723 | - | 0 | 0 | - | Unknown |
| Carta Securities, LLC CRD: 282086 | - | 0 | 0 | A | INACTIVE |
| Carte Verte Management LLC CRD: 304948 | - | 0 | 1 | - | Unknown |
| Cartecay Capital Management CRD: 127166 | - | 0 | 0 | - | Unknown |
| Cartenna Capital CRD: 307688 | - | 0 | 1 | - | Unknown |
| Carter & Balsam Advisers CRD: 127634 | - | 0 | 2 | - | Unknown |
| Carter Advisory Services, Inc CRD: 116249 | - | 0 | 5 | - | Unknown |
| Carter and Carter Wealth Strategies, Inc. CRD: 256791 | - | 0 | 0 | - | Unknown |
| Carter Bain Wealth Management CRD: 131960 | - | 0 | 0 | - | Unknown |
| Carter Capital Corporation CRD: 23521 | CT | 0 | 2 | A | Active |
| Carter Capital Management CRD: 123069 | - | 0 | 2 | - | Unknown |
| Carter Financial Group, Inc. CRD: 301025 | - | 0 | 3 | - | Unknown |
| Carter Financial, L.P. CRD: 119503 | - | 0 | 0 | A | INACTIVE |
| Carter Financial, LLC CRD: 298327 | - | 0 | 1 | - | Unknown |
| Carter Group GP LLC CRD: 319611 | - | 0 | 1 | - | Unknown |
| Carter Investment Capital, Inc. CRD: 28294 | - | 1 | 0 | B | INACTIVE |
| Carter Kaplan & Company CRD: 14545 | - | 0 | 0 | A | INACTIVE |
| Carter Marsden Asset Management, LLC CRD: 281601 | - | 0 | 0 | - | Unknown |
| Carter Ridge Strategic Advisors CRD: 322160 | - | 0 | 1 | - | Unknown |
| Carter Securities, LLC CRD: 136350 | - | 2 | 0 | B | INACTIVE |
| Carter, Terry & Company, Inc. CRD: 16365 | GA | 4 | 11 | B | Active |
| Carter-Haston Investment Partners II GP, LLC CRD: 165442 | - | 0 | 1 | - | Unknown |
| Cartera Investments CRD: 328615 | - | 0 | 1 | - | Unknown |
| Carterkev Advisors LLC CRD: 300532 | - | 0 | 1 | - | Unknown |
| Cartesian Capital Group CRD: 159370 | - | 0 | 1 | - | Unknown |
| Cartesius Management CRD: 310284 | - | 0 | 0 | - | Unknown |
| Carthage Capital Management LLC CRD: 337863 | - | 0 | 1 | - | Unknown |
| Carthage Financial Group, LLC CRD: 160950 | - | 0 | 0 | - | Unknown |
| Carthage Group Inc. CRD: 18289 | - | 0 | 0 | A | INACTIVE |
| Cartica Management, LLC CRD: 147792 | - | 0 | 0 | - | Unknown |
| Cartograph Ventures Management, LLC CRD: 319030 | - | 0 | 1 | - | Unknown |
| Cartography Capital, LLC CRD: 172085 | - | 0 | 0 | - | Unknown |
| Cartooli Business Ventures Inc CRD: 318689 | - | 0 | 0 | - | Unknown |
| Cartwright & Goodwin, Inc. CRD: 19846 | - | 0 | 0 | A | INACTIVE |
| Cartwright and Walker Securities, Incorporated CRD: 23504 | - | 0 | 0 | A | INACTIVE |
| Cartwright Securities, Inc. CRD: 10816 | - | 0 | 0 | A | INACTIVE |
| Cartwright-Egan, Incorporated CRD: 10182 | - | 0 | 0 | A | INACTIVE |
| Carty Capital Management CRD: 284563 | - | 0 | 0 | - | Unknown |
| Carty Financial, Inc. CRD: 144564 | - | 0 | 1 | - | Unknown |
| Carty, Harding & Hearn, Inc. CRD: 7001 | TN | 20 | 10 | B | Active |
| Caruso and Company, P.A., Certified Public Account… CRD: 142685 | - | 0 | 1 | - | Unknown |