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 |
|---|---|---|---|---|---|
| Chaps Lifestyle LLC CRD: 333806 | - | 0 | 1 | - | Unknown |
| Chapter IV Investors, LLC CRD: 155435 | - | 0 | 0 | - | Unknown |
| Chapter ONE, Management Company, LLC CRD: 316964 | - | 0 | 1 | - | Unknown |
| Chapter ONE, Page ONE LLC CRD: 304251 | - | 0 | 0 | - | Unknown |
| Chapter ONE, Page ONE LLC CRD: 321028 | - | 0 | 1 | - | Unknown |
| Chapters to Wealth CRD: 340232 | - | 0 | 1 | - | Unknown |
| Chapwood Capital Investment Management, LLC CRD: 138524 | - | 0 | 0 | - | Unknown |
| Chapwood Securities, Inc. CRD: 154376 | - | 9 | 0 | D | INACTIVE |
| Character Capital LLC CRD: 313823 | - | 0 | 1 | - | Unknown |
| Chardan Capital Markets LLC CRD: 120128 | NY | 14 | 4 | C | Active |
| Charge VC Management, LLC CRD: 320900 | - | 0 | 1 | - | Unknown |
| Chariot Advisors CRD: 146652 | - | 0 | 0 | - | Unknown |
| Chariot Capital LLC CRD: 314612 | - | 0 | 0 | - | Unknown |
| Chariot Investment Group, LLC CRD: 103807 | - | 0 | 0 | A | INACTIVE |
| Charis Advisors Group CRD: 309758 | - | 0 | 0 | - | Unknown |
| Charis Legacy Partners CRD: 311968 | - | 0 | 1 | - | Unknown |
| Charism Capital Management LLC CRD: 342912 | - | 0 | 1 | - | Unknown |
| Charles a. Hinsch & Company, Inc. CRD: 2208 | - | 0 | 0 | A | INACTIVE |
| Charles a. Liles & Associates, Inc. CRD: 128581 | - | 0 | 0 | - | Unknown |
| Charles Borden and Company CRD: 14588 | - | 0 | 0 | A | INACTIVE |
| Charles C. Jordan and Co. CRD: 6860 | - | 0 | 0 | A | INACTIVE |
| Charles Capital CRD: 313224 | - | 0 | 1 | - | Unknown |
| Charles Carroll Financial Partners, LLC CRD: 147960 | - | 0 | 0 | - | Unknown |
| Charles D. Hyman & Company CRD: 105923 | - | 0 | 0 | - | Unknown |
| Charles David Ward CRD: 10017 | - | 0 | 0 | A | INACTIVE |
| Charles Edward Capital Management LLC CRD: 128116 | - | 0 | 0 | - | Unknown |
| Charles Edward O'connor CRD: 113280 | - | 0 | 0 | - | Unknown |
| Charles F. Kirchen and Co., Inc. CRD: 2746 | - | 0 | 0 | A | INACTIVE |
| Charles Fish Investments, Inc. CRD: 110445 | - | 0 | 2 | - | Unknown |
| Charles G. Peelor & Co., Inc. CRD: 3000 | - | 0 | 0 | A | INACTIVE |
| Charles H. Ross, Inc. CRD: 31365 | - | 0 | 0 | A | INACTIVE |
| Charles J. Means & Co., LLC CRD: 120178 | - | 0 | 2 | - | Unknown |
| Charles Jordan & Co., LLC CRD: 30303 | - | 2 | 0 | B | INACTIVE |
| Charles Kasner Registered Investment Advisor LLC CRD: 323675 | - | 0 | 1 | - | Unknown |
| Charles Lane Capital, LLC CRD: 315094 | - | 0 | 0 | - | Unknown |
| Charles Mclean Capital Management CRD: 336166 | - | 0 | 1 | - | Unknown |
| Charles North CRD: 116596 | - | 0 | 0 | - | Unknown |
| Charles Pratt & Company, L.L.C. CRD: 104864 | - | 0 | 1 | - | Unknown |
| Charles R. Lloyd, CFA CRD: 167938 | - | 0 | 0 | - | Unknown |
| Charles River Brokerage, LLC CRD: 132267 | MA | 0 | 2 | A | Active |
| Charles River Wealth Management, LLC CRD: 288017 | - | 0 | 1 | - | Unknown |
| Charles S. Hersh, Certified Financial Planner CRD: 122990 | - | 0 | 0 | - | Unknown |
| Charles Schwab & Co., Inc. CRD: 5393 | TX | 318 | 1,403 | C | Active |
| Charles Schwab Investment Advisory, Inc CRD: 151739 | - | 0 | 0 | - | Unknown |
| Charles Schwab Investment Management, Inc CRD: 106753 | - | 0 | 36 | - | Unknown |
| Charles Street Securities, Inc. CRD: 14216 | - | 2 | 0 | B | INACTIVE |
| Charles Towne Securities, LLC CRD: 172278 | SC | 0 | 2 | A | Active |
| Charles Vista LLC CRD: 132650 | - | 5 | 0 | C | INACTIVE |
| Charles W. Cammack Associates, Inc. CRD: 29208 | - | 0 | 0 | A | INACTIVE |
| Charles W. Ready Financial Services CRD: 121515 | - | 0 | 0 | - | Unknown |