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 |
|---|---|---|---|---|---|
| Cblue Capital, LLC CRD: 169953 | - | 0 | 0 | - | Unknown |
| CBM Financial Services, LLC CRD: 121765 | - | 0 | 0 | - | Unknown |
| Cboe Trading, Inc. CRD: 136734 | KS | 1 | 2 | B | Active |
| CBP Advisory, LLC CRD: 319580 | - | 0 | 1 | - | Unknown |
| Cbpe Capital CRD: 160901 | - | 0 | 0 | - | Unknown |
| Cbre Capital Advisors, Inc. CRD: 140565 | TX | 0 | 8 | A | Active |
| Cbre Investment Management CRD: 109981 | - | 0 | 1 | - | Unknown |
| Cbre Investment Management (Asia Pacific) PTE. Ltd… CRD: 284495 | - | 0 | 0 | - | Unknown |
| Cbre Investment Management (Shanghai) Co., Ltd. CRD: 163545 | - | 0 | 0 | - | Unknown |
| Cbre Investment Management Indirect Limited CRD: 163590 | - | 0 | 0 | - | Unknown |
| Cbre Investment Management Infrastructure Inc. CRD: 158495 | - | 0 | 0 | - | Unknown |
| Cbre Investment Management Listed Real Assets LLC CRD: 106256 | - | 0 | 1 | - | Unknown |
| Cbre Investment Management Luxembourg Aifm S.A R.L… CRD: 290000 | - | 0 | 0 | - | Unknown |
| Cbre Investment Management, LLC CRD: 111590 | - | 0 | 0 | - | Unknown |
| Cbre Securities, LLC CRD: 151592 | - | 1 | 0 | B | INACTIVE |
| CBS Funding, Inc. CRD: 158408 | - | 0 | 1 | - | Unknown |
| CBW Securities, LLC CRD: 132023 | - | 0 | 0 | A | INACTIVE |
| CC Capital Advisors LLC CRD: 338420 | KS | 0 | 1 | A | Active |
| CC Capital Insurance Advisors LLC CRD: 334723 | - | 0 | 1 | - | Unknown |
| CC Capital Investment Management LLC CRD: 310854 | - | 0 | 0 | - | Unknown |
| CC China Retail Properties GP Limited CRD: 162116 | - | 0 | 0 | - | Unknown |
| CC China Retail Properties Management Limited CRD: 162114 | - | 0 | 0 | - | Unknown |
| CC Global Advisers, LLC CRD: 166484 | - | 0 | 0 | - | Unknown |
| CC Investment Advisors, Inc. CRD: 117895 | - | 0 | 2 | - | Unknown |
| CC Investment Services, Inc. CRD: 28681 | - | 0 | 0 | A | INACTIVE |
| CC Investments CRD: 142842 | - | 0 | 0 | - | Unknown |
| CC Puerto Rico, LLC CRD: 336735 | - | 0 | 1 | - | Unknown |
| CC Real Estate Advisory Limited CRD: 162112 | - | 0 | 0 | - | Unknown |
| CC Securities LDC CRD: 43069 | - | 0 | 0 | A | INACTIVE |
| CC Securities, LLC CRD: 153523 | CT | 0 | 3 | A | Active |
| CC Ventures Management, LLC CRD: 325140 | - | 0 | 1 | - | Unknown |
| CC&Q Investors Diversified, Inc. CRD: 26644 | - | 0 | 0 | A | INACTIVE |
| CCA Capital LLC CRD: 154837 | MA | 0 | 3 | A | Active |
| CCA Securities, Inc. CRD: 14726 | - | 0 | 0 | A | INACTIVE |
| Ccaventus Global Credit Management LLC CRD: 342500 | - | 0 | 1 | - | Unknown |
| CCB International Overseas (USA) Inc. CRD: 159795 | - | 0 | 0 | A | INACTIVE |
| CCB Securities Limited CRD: 289781 | - | 0 | 0 | - | Unknown |
| CCBT Brokerage Direct, Inc. CRD: 29602 | - | 0 | 0 | A | INACTIVE |
| CCC Advisors, Inc. CRD: 7379 | - | 0 | 0 | A | INACTIVE |
| CCC Advisors, LLC CRD: 288948 | - | 0 | 1 | - | Unknown |
| CCF Advisors LLC CRD: 141018 | - | 0 | 2 | - | Unknown |
| CCF International Finance Corp. CRD: 15977 | - | 0 | 0 | A | INACTIVE |
| CCF Investments, Inc. CRD: 136571 | - | 0 | 0 | A | INACTIVE |
| CCG Asset Management, LLC CRD: 166361 | - | 0 | 0 | - | Unknown |
| CCI Financial Group Inc CRD: 111725 | - | 0 | 0 | - | Unknown |
| CCL Capital Advisors, LLC CRD: 313183 | - | 0 | 0 | - | Unknown |
| CCL Partners, LP CRD: 106115 | - | 0 | 0 | A | INACTIVE |
| CCL Trading, Inc. CRD: 43762 | - | 0 | 0 | A | INACTIVE |
| CCM Core IM LLC CRD: 340365 | - | 0 | 1 | - | Unknown |
| CCM Equities, LLC CRD: 149084 | - | 1 | 0 | B | INACTIVE |