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 |
|---|---|---|---|---|---|
| CCM Investment Counsel CRD: 121174 | - | 0 | 2 | - | Unknown |
| CCM Investment Group, LLC CRD: 327915 | - | 0 | 0 | - | Unknown |
| CCM Management Group CRD: 170116 | - | 0 | 0 | - | Unknown |
| CCM NEW Opportunities, LLC CRD: 301887 | - | 0 | 1 | - | Unknown |
| CCM Securities, LLC CRD: 104457 | IL | 2 | 3 | B | Active |
| CCMP Capital CRD: 140121 | - | 0 | 2 | - | Unknown |
| CCMP Growth, LP CRD: 322926 | - | 0 | 1 | - | Unknown |
| CCO Capital, LLC CRD: 31147 | AZ | 0 | 4 | A | Active |
| CCP Advisors LLC CRD: 170895 | - | 0 | 0 | - | Unknown |
| CCP Advisory Ltd. CRD: 162131 | - | 0 | 0 | - | Unknown |
| CCP BH Management II, LLC CRD: 284463 | - | 0 | 0 | - | Unknown |
| CCP BH Management, LLC CRD: 284409 | - | 0 | 0 | - | Unknown |
| CCP Equity Partners, LLC CRD: 162435 | - | 0 | 1 | - | Unknown |
| CCP GP Ltd. CRD: 162135 | - | 0 | 0 | - | Unknown |
| CCP Group Inc. CRD: 42206 | - | 0 | 0 | A | INACTIVE |
| CCP II Advisory Ltd. CRD: 162132 | - | 0 | 0 | - | Unknown |
| CCP II GP Ltd. CRD: 162136 | - | 0 | 0 | - | Unknown |
| CCP Transition, LLC CRD: 169989 | - | 0 | 0 | - | Unknown |
| CCP, Inc CRD: 109692 | - | 0 | 0 | - | Unknown |
| CCS Funds, LLC CRD: 163761 | - | 0 | 0 | - | Unknown |
| CCS Partners LLC CRD: 329876 | - | 0 | 1 | - | Unknown |
| CCS Transactions, LLC CRD: 149901 | MN | 0 | 5 | A | Active |
| CCSJ Advisory Services, LLC CRD: 285139 | - | 0 | 0 | - | Unknown |
| CCSZF Management LLC CRD: 283954 | - | 0 | 0 | - | Unknown |
| Cctrack Solutions LLC CRD: 171545 | - | 0 | 0 | - | Unknown |
| CCV LLC CRD: 281876 | - | 0 | 0 | - | Unknown |
| CCV Management Limited CRD: 311080 | - | 0 | 0 | - | Unknown |
| CD Capital (UK) Limited CRD: 163060 | - | 0 | 0 | - | Unknown |
| CD Capital Asset Management Limited CRD: 290160 | - | 0 | 0 | - | Unknown |
| CD55 Capital Management, LLC CRD: 315136 | - | 0 | 0 | - | Unknown |
| CDA Group CRD: 151838 | - | 0 | 0 | - | Unknown |
| CDA Securities, Inc. CRD: 14115 | - | 0 | 0 | A | INACTIVE |
| Cdam (UK) Ltd CRD: 169319 | - | 0 | 0 | - | Unknown |
| CDB Advisory & Consulting CRD: 314797 | - | 0 | 1 | - | Unknown |
| CDC Investment Corporation CRD: 14564 | - | 0 | 0 | A | INACTIVE |
| Cdfinancial CRD: 165317 | - | 0 | 1 | - | Unknown |
| CDH Advisors LLC CRD: 288284 | - | 0 | 0 | - | Unknown |
| CDH Capital Corporation CRD: 44786 | - | 1 | 0 | B | INACTIVE |
| CDH Investment Advisory Private Limited CRD: 163756 | - | 0 | 0 | - | Unknown |
| CDH Investments Management (Hong Kong) Limited CRD: 285754 | - | 0 | 0 | - | Unknown |
| CDH MID Market Management Company Limited CRD: 285756 | - | 0 | 0 | - | Unknown |
| CDH Special Opportunity Management Company Limited CRD: 164518 | - | 0 | 0 | - | Unknown |
| CDH Venture Management Company Limited CRD: 163805 | - | 0 | 0 | - | Unknown |
| CDH Venture Management III Company Limited CRD: 166092 | - | 0 | 0 | - | Unknown |
| Cdib Capital International (Hong Kong) Corporation… CRD: 305691 | - | 0 | 0 | - | Unknown |
| Cdib Capital International (USA) Corporation CRD: 297723 | - | 0 | 1 | - | Unknown |
| Cdib Capital International Corporation CRD: 237786 | - | 0 | 0 | - | Unknown |
| CDK Financial Services, LLC CRD: 124333 | - | 6 | 0 | D | INACTIVE |
| CDK Realty Advisors, LP CRD: 123939 | - | 0 | 0 | - | Unknown |
| CDM Specialists LLC CRD: 113026 | - | 0 | 0 | A | INACTIVE |