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 |
|---|---|---|---|---|---|
| Category Ventures Management Company, LLC CRD: 334355 | - | 0 | 1 | - | Unknown |
| Catena Investment Strategies GBC CRD: 169441 | - | 0 | 0 | - | Unknown |
| Catenary Alternatives Asset Management, LLC CRD: 164517 | - | 0 | 1 | - | Unknown |
| Caterer Goodman Partners Ltd CRD: 314975 | - | 0 | 0 | - | Unknown |
| Cates FP, Cates TAX Advisory CRD: 290650 | - | 0 | 1 | - | Unknown |
| Catey, Inc. CRD: 316011 | - | 0 | 1 | - | Unknown |
| Cathay Capital NA, LLC CRD: 268816 | - | 0 | 1 | - | Unknown |
| Cathay Financial Inc CRD: 30065 | - | 3 | 0 | C | INACTIVE |
| Cathay Securities, Inc. CRD: 21821 | NY | 0 | 2 | A | Active |
| Cathedral Capital Wealth Management LLC CRD: 300434 | - | 0 | 0 | - | Unknown |
| Catherine R. Smith, Financial Planner, LLC CRD: 139909 | - | 0 | 1 | - | Unknown |
| Catholic Financial Services Corporation CRD: 37185 | - | 0 | 0 | A | INACTIVE |
| Catholic Investment Services, Inc. CRD: 172467 | - | 0 | 1 | - | Unknown |
| Catholic Values Endowment Advisory Group LLC CRD: 332482 | - | 0 | 1 | - | Unknown |
| Cathy a. Wagner, CFP, RIA CRD: 141583 | - | 0 | 1 | - | Unknown |
| Catlin Financial, LLC CRD: 325202 | - | 0 | 1 | - | Unknown |
| Cato Capital, LLC CRD: 133142 | - | 0 | 0 | A | INACTIVE |
| Catoctin Ridge Wealth Partner CRD: 333113 | - | 0 | 2 | - | Unknown |
| Catoctin Securities Corporation CRD: 16407 | - | 0 | 0 | A | INACTIVE |
| Catrs Teachers Retirement Services LLC CRD: 298801 | - | 0 | 2 | - | Unknown |
| Catsgame Capital LLC CRD: 309608 | - | 0 | 1 | - | Unknown |
| Catskill Mountains Securities Co. CRD: 14622 | - | 0 | 0 | A | INACTIVE |
| Catton Capital Partners, LLC CRD: 339336 | - | 0 | 1 | - | Unknown |
| Catum Advisory Group, LLC. CRD: 277148 | - | 0 | 1 | - | Unknown |
| Cauble & Harre Wealth Management, Inc. CRD: 143812 | - | 0 | 3 | - | Unknown |
| Caudill Securities Inc. CRD: 13306 | - | 0 | 0 | A | INACTIVE |
| Causality Global Investors LLC CRD: 315724 | - | 0 | 0 | - | Unknown |
| Causation Ventures, L.L.C. CRD: 325506 | - | 0 | 1 | - | Unknown |
| Causeway Capital Management LLC CRD: 113308 | - | 0 | 1 | - | Unknown |
| Causeway Media Partners CRD: 167916 | - | 0 | 1 | - | Unknown |
| Causey Demgen & Moore P.C. CRD: 111115 | - | 0 | 0 | - | Unknown |
| Causey Public Finance CRD: 332123 | - | 0 | 2 | - | Unknown |
| Causey Wealth LLC CRD: 331134 | - | 0 | 1 | - | Unknown |
| Cavalcade Capital LLC CRD: 327292 | - | 0 | 1 | - | Unknown |
| Cavalier Advisory & Insurance CRD: 286690 | - | 0 | 0 | - | Unknown |
| Cavallini Management, LLC CRD: 305058 | - | 0 | 0 | - | Unknown |
| Cavalot Capital CRD: 312088 | - | 0 | 2 | - | Unknown |
| Cavalry Management Group CRD: 167937 | - | 0 | 0 | - | Unknown |
| Cavalry Management Group 2, LLC CRD: 336850 | - | 0 | 1 | - | Unknown |
| Cavan Capital Management LLC CRD: 171678 | - | 0 | 0 | - | Unknown |
| Cavan Capital Management LLC CRD: 311325 | - | 0 | 1 | - | Unknown |
| Cavanal Hill Distributors, Inc, CRD: 175445 | OK | 0 | 2 | A | Active |
| Cavanal Hill Investment Management, Inc. CRD: 110774 | - | 0 | 28 | - | Unknown |
| Cavanna Capital Management, LLC CRD: 125395 | - | 0 | 0 | - | Unknown |
| Cave, Inc. CRD: 126171 | - | 0 | 1 | - | Unknown |
| Caves & Associates CRD: 167410 | - | 0 | 0 | - | Unknown |
| Caviano, Frank Joseph CRD: 130146 | - | 0 | 0 | A | INACTIVE |
| Cavner Social Enterprises, LLC CRD: 173606 | - | 0 | 1 | - | Unknown |
| Cavria Advisors CRD: 283423 | - | 0 | 0 | - | Unknown |
| Cavu Advisors, LLC CRD: 285093 | - | 0 | 0 | - | Unknown |