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 |
|---|---|---|---|---|---|
| Castfirm Advisors LLC CRD: 327519 | - | 0 | 2 | - | Unknown |
| Castik Capital Sarl CRD: 309487 | - | 0 | 0 | - | Unknown |
| Castile Ventures Management Company, Inc. CRD: 162738 | - | 0 | 0 | - | Unknown |
| Castine Capital Management, LLC CRD: 158487 | - | 0 | 0 | - | Unknown |
| Castle Advisors Group, LLC CRD: 299340 | - | 0 | 1 | - | Unknown |
| Castle Analytics LLC CRD: 289495 | - | 0 | 1 | - | Unknown |
| Castle Coast Wealth, LLC CRD: 298439 | - | 0 | 3 | - | Unknown |
| Castle Creek Capital CRD: 158079 | - | 0 | 1 | - | Unknown |
| Castle Creek Financial LLC CRD: 39063 | - | 1 | 0 | B | INACTIVE |
| Castle Creek Launchpad CRD: 321741 | - | 0 | 1 | - | Unknown |
| Castle Creek Partners, LLC CRD: 161979 | - | 0 | 0 | - | Unknown |
| Castle Creek Strategies, LLC CRD: 135351 | - | 0 | 0 | - | Unknown |
| Castle Financial CRD: 338962 | - | 0 | 1 | - | Unknown |
| Castle Financial & Retirement Planning Associates … CRD: 107865 | - | 0 | 1 | - | Unknown |
| Castle Group Investment Counsel, Inc. CRD: 134992 | - | 0 | 1 | - | Unknown |
| Castle Harlan, Inc. CRD: 158106 | - | 0 | 1 | - | Unknown |
| Castle Hill Asset Management LLC CRD: 152604 | - | 0 | 0 | - | Unknown |
| Castle Hill Capital CRD: 285817 | - | 0 | 1 | - | Unknown |
| Castle Hill Capital Partners, Inc. CRD: 44131 | NY | 0 | 2 | A | Active |
| Castle Hook Partners LP CRD: 284968 | - | 0 | 1 | - | Unknown |
| Castle Investor Coaching CRD: 147581 | - | 0 | 0 | - | Unknown |
| Castle Island Ventures CRD: 298999 | - | 0 | 1 | - | Unknown |
| Castle Island Wealth CRD: 287710 | - | 0 | 2 | - | Unknown |
| Castle Knoll Investments LLC CRD: 144587 | - | 0 | 0 | - | Unknown |
| Castle Light Partners LP CRD: 301246 | - | 0 | 1 | - | Unknown |
| Castle Peak Capital Advisors, LLC CRD: 161191 | - | 0 | 0 | - | Unknown |
| Castle Pines Investment Management LLC CRD: 113052 | - | 0 | 3 | - | Unknown |
| Castle Placement, LLC CRD: 189511 | NY | 0 | 13 | A | Active |
| Castle Ridge Asset Management Limited CRD: 309774 | - | 0 | 0 | - | Unknown |
| Castle Ridge Capital LLC CRD: 132240 | - | 0 | 0 | - | Unknown |
| Castle Ridge Investment Management LP CRD: 175498 | - | 0 | 0 | - | Unknown |
| Castle Rock Advisors LLC CRD: 331429 | - | 0 | 1 | - | Unknown |
| Castle Rock Financial Advisors, LLC. CRD: 150190 | - | 0 | 0 | - | Unknown |
| Castle Rock Financial Planning, Inc. CRD: 174507 | - | 0 | 1 | - | Unknown |
| Castle Rock Investment Company CRD: 140299 | - | 0 | 1 | - | Unknown |
| Castle Rock Money Management LLC CRD: 108689 | - | 0 | 0 | - | Unknown |
| Castle Rock Wealth Management, LLC CRD: 199513 | - | 0 | 4 | - | Unknown |
| Castle Securities Corp. CRD: 16077 | - | 19 | 0 | F | INACTIVE |
| Castle Wealth Advisors LLC CRD: 283231 | - | 0 | 0 | - | Unknown |
| Castle Wealth Group CRD: 342075 | - | 0 | 1 | - | Unknown |
| Castle Wealth Management CRD: 118364 | - | 0 | 1 | - | Unknown |
| Castle Wealth Planning CRD: 141601 | - | 0 | 1 | - | Unknown |
| Castle Wealth Strategies, LLC CRD: 156325 | - | 0 | 0 | - | Unknown |
| Castleark Management LLC CRD: 109587 | - | 0 | 1 | - | Unknown |
| Castlebar Capital LLP CRD: 327829 | - | 0 | 0 | - | Unknown |
| Castleberry Capital Investments, LLC CRD: 307297 | - | 0 | 0 | - | Unknown |
| Castlebridge Risk Solutions, Inc. CRD: 100840 | - | 0 | 0 | A | INACTIVE |
| Castlebury Advisory CRD: 151658 | - | 0 | 0 | - | Unknown |
| Castleforge CRD: 301341 | - | 0 | 0 | - | Unknown |
| Castlelake, L.P. CRD: 145165 | - | 0 | 2 | - | Unknown |