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 |
|---|---|---|---|---|---|
| Caruso Family Financial Advisors (Cffa) LLC CRD: 306593 | - | 0 | 2 | - | Unknown |
| Caruso Mclean & Co., Inc. CRD: 126084 | - | 0 | 1 | - | Unknown |
| Caruso Ventures CRD: 323276 | - | 0 | 1 | - | Unknown |
| Caruth Capital Partners, LLC CRD: 297427 | - | 0 | 0 | - | Unknown |
| Carval CLO Management LLC CRD: 298135 | - | 0 | 1 | - | Unknown |
| Carvalho Investment Group, LLC CRD: 312231 | - | 0 | 1 | - | Unknown |
| Carver Capital, LLC CRD: 286097 | - | 0 | 0 | - | Unknown |
| Carver Cross Securities Corp. CRD: 44722 | - | 1 | 0 | B | INACTIVE |
| Carver Edison Capital, LLC CRD: 315151 | TX | 0 | 2 | A | Active |
| Carvill Capital Markets, Inc. CRD: 142520 | - | 0 | 0 | A | INACTIVE |
| Cary Grant & Company, Inc. CRD: 7710 | - | 0 | 0 | A | INACTIVE |
| Cary Street Partners CRD: 128089 | VA | 0 | 18 | A | Active |
| Cary Street Partners CRD: 128545 | - | 0 | 111 | - | Unknown |
| Carya Management, LLC CRD: 334933 | - | 0 | 1 | - | Unknown |
| CAS Distribution Corporation CRD: 16378 | - | 0 | 0 | A | INACTIVE |
| CAS Wealth Strategies LLC CRD: 306363 | - | 0 | 0 | - | Unknown |
| Casa Verde Capital, LLC CRD: 269907 | - | 0 | 1 | - | Unknown |
| Cascade Advisory Group Inc CRD: 167015 | - | 0 | 0 | - | Unknown |
| Cascade Capital Asset Management LLC CRD: 289277 | - | 0 | 0 | - | Unknown |
| Cascade Financial Management, Inc. CRD: 119030 | - | 0 | 0 | A | INACTIVE |
| Cascade Financial Strategies CRD: 166610 | - | 0 | 1 | - | Unknown |
| Cascade Fund CRD: 14324 | - | 0 | 0 | A | INACTIVE |
| Cascade Investment Advisors, Inc. CRD: 117294 | - | 0 | 2 | - | Unknown |
| Cascade Investment Group, Inc. CRD: 35844 | CO | 2 | 3 | B | Active |
| Cascade OAK Investments, LLC CRD: 309524 | - | 0 | 0 | - | Unknown |
| Cascade Partners BD, LLC CRD: 148739 | MI | 0 | 3 | A | Active |
| Cascade Ridge Capital LP CRD: 286073 | - | 0 | 0 | - | Unknown |
| Cascade Wealth Advisors, Inc CRD: 158470 | - | 0 | 1 | - | Unknown |
| Cascade Wealth LLC CRD: 322216 | - | 0 | 1 | - | Unknown |
| Cascades Capital Asset Management, LLC CRD: 167102 | - | 0 | 2 | - | Unknown |
| Cascadia Advisory Services, LLC CRD: 290231 | - | 0 | 0 | - | Unknown |
| Cascadia Capital, LLC CRD: 101020 | WA | 1 | 8 | B | Active |
| Cascadia Investment Consultants CRD: 154851 | - | 0 | 1 | - | Unknown |
| Cascio Wealth Management CRD: 317292 | - | 0 | 1 | - | Unknown |
| Casco BAY Capital Partners CRD: 155374 | - | 0 | 0 | - | Unknown |
| Casder Institute of Wealth Inc. CRD: 339172 | - | 0 | 1 | - | Unknown |
| Casdin Capital, LLC CRD: 169579 | - | 0 | 1 | - | Unknown |
| Case Pearlman Retirement Plan Advisors, LLC CRD: 148892 | - | 0 | 0 | - | Unknown |
| Casey Capital Advisors, LLC CRD: 163759 | - | 0 | 0 | - | Unknown |
| Casey Capital, LLC CRD: 160680 | - | 0 | 1 | - | Unknown |
| Casey Foss Securities Corporation CRD: 7709 | - | 0 | 0 | A | INACTIVE |
| Casey Securities LLC CRD: 35230 | CA | 20 | 2 | D | Active |
| Casey Thomas Clark CRD: 107459 | - | 0 | 0 | - | Unknown |
| Casey Trading LLC CRD: 134260 | - | 0 | 0 | A | INACTIVE |
| Casey Wealth Management, Inc. CRD: 124098 | - | 0 | 2 | - | Unknown |
| Casey, Patrick Michael CRD: 133656 | - | 0 | 0 | A | INACTIVE |
| Casgrain & Company (USA) Limited CRD: 44474 | - | 0 | 0 | A | Active |
| Cash APP Investing LLC CRD: 144076 | CA | 1 | 2 | B | Active |
| Cash Balance Management, Inc. CRD: 174451 | - | 0 | 0 | - | Unknown |
| Cash Flow Fund 2 Manager, LLC CRD: 337642 | - | 0 | 1 | - | Unknown |