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 |
|---|---|---|---|---|---|
| Castlemaine LLC CRD: 281259 | - | 0 | 0 | - | Unknown |
| Castlepoint Wealth Advisors CRD: 205512 | - | 0 | 2 | - | Unknown |
| Castleton Partners, LLC CRD: 140873 | - | 0 | 1 | - | Unknown |
| Castleview Advisory CRD: 281688 | - | 0 | 0 | - | Unknown |
| Castleview Partners, LLC CRD: 281410 | - | 0 | 13 | - | Unknown |
| Castlewood Financial Advisors, LLC CRD: 147624 | - | 0 | 1 | - | Unknown |
| Castlewood Securities, L.L.C. CRD: 45179 | - | 1 | 0 | B | INACTIVE |
| Castock Corp. CRD: 11138 | - | 0 | 0 | A | INACTIVE |
| CAT Rock Capital Management LP CRD: 268817 | - | 0 | 1 | - | Unknown |
| Catalano Financial CRD: 298405 | - | 0 | 2 | - | Unknown |
| Cataldo Frank Carl CRD: 33861 | - | 0 | 0 | A | INACTIVE |
| Catalina Capital Group, LLC CRD: 172556 | - | 0 | 0 | - | Unknown |
| Catalina Capital Management, LLC CRD: 321849 | - | 0 | 1 | - | Unknown |
| Catalina Wealth Partners, LLC CRD: 291351 | - | 0 | 0 | - | Unknown |
| Catalio Capital Management, LP CRD: 310374 | - | 0 | 1 | - | Unknown |
| Catalpa Capital Advisors, LLC CRD: 155841 | - | 0 | 0 | - | Unknown |
| Catalur Capital Management, LP CRD: 307830 | - | 0 | 1 | - | Unknown |
| Catalys Pacific, LLC CRD: 301379 | - | 0 | 0 | - | Unknown |
| Catalyst Capital Advisers LLC CRD: 290191 | - | 0 | 1 | - | Unknown |
| Catalyst Capital Advisors LLC CRD: 139895 | - | 0 | 8 | - | Unknown |
| Catalyst Capital International LLC CRD: 290047 | - | 0 | 0 | - | Unknown |
| Catalyst Capital Management Ltd CRD: 163348 | - | 0 | 0 | - | Unknown |
| Catalyst Financial NW Corporation CRD: 168534 | - | 0 | 1 | - | Unknown |
| Catalyst Harbor Capital Management LLC CRD: 337644 | - | 0 | 0 | - | Unknown |
| Catalyst Impact Partners Corp. CRD: 327202 | - | 0 | 1 | - | Unknown |
| Catalyst Investment Management Co LLC CRD: 109252 | - | 0 | 0 | - | Unknown |
| Catalyst Investors, L.L.C. CRD: 156947 | - | 0 | 0 | - | Unknown |
| Catalyst Microfinance Investment Company CRD: 160639 | - | 0 | 0 | - | Unknown |
| Catalyst Private Wealth, LLC CRD: 305565 | - | 0 | 6 | - | Unknown |
| Catalyst Research Management Group CRD: 168902 | - | 0 | 0 | - | Unknown |
| Catalyst Trading LLC CRD: 101720 | - | 1 | 0 | B | INACTIVE |
| Catalyst Wealth Advisors LLC CRD: 297503 | - | 0 | 1 | - | Unknown |
| Catalyst Wealth Management CRD: 291138 | - | 0 | 0 | - | Unknown |
| Catalyst Wealth Management CRD: 122857 | - | 0 | 0 | - | Unknown |
| Catalyst Wealth Management CRD: 283728 | - | 0 | 0 | - | Unknown |
| Catalytic Capital, LLC CRD: 168869 | - | 0 | 0 | A | INACTIVE |
| Catalyze Wealth Management CRD: 300078 | - | 0 | 1 | - | Unknown |
| Catamount Capital LLC CRD: 137652 | - | 0 | 1 | - | Unknown |
| Catamount Ventures CRD: 162037 | - | 0 | 1 | - | Unknown |
| Catamount Wealth Management CRD: 127496 | - | 0 | 0 | - | Unknown |
| Catania, Neil Michael CRD: 131133 | - | 0 | 0 | A | INACTIVE |
| Catapult Advisors LLC CRD: 115610 | - | 0 | 0 | A | INACTIVE |
| Catapult Ventures Management, LLC CRD: 294461 | - | 0 | 1 | - | Unknown |
| Cataria Capital Management LP CRD: 299042 | - | 0 | 1 | - | Unknown |
| Catawba Capital Management Inc CRD: 107133 | - | 0 | 0 | - | Unknown |
| Catawba River Capital CRD: 134217 | - | 0 | 3 | - | Unknown |
| Catch Capital Management, LLC CRD: 294056 | - | 0 | 0 | - | Unknown |
| Catch Point Rights Partners LP CRD: 310136 | - | 0 | 1 | - | Unknown |
| Catchlight Capital Management LLC CRD: 319003 | - | 0 | 1 | - | Unknown |
| Catchment Capital, L.P. CRD: 335631 | - | 0 | 1 | - | Unknown |