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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Charles Webb & Company
CRD: 27174
 - 0 0 A INACTIVE
Charles William Ziegler III
CRD: 5466
 - 0 0 A INACTIVE
Charles-LIM Capital Limited
CRD: 172397
 - 0 0 - Unknown
Charlesbank Capital Partners, LLC
CRD: 160256
 - 0 1 - Unknown
Charleston Capital Management, LLC
CRD: 282038
 - 0 0 - Unknown
Charleston Equity Partners, LLC
CRD: 300228
 - 0 2 - Unknown
Charleston Wealth Advisors
CRD: 319565
 - 0 1 - Unknown
Charlesworth & Rugg Inc
CRD: 104839
 - 0 0 - Unknown
Charlotte & Bates, Inc.
CRD: 26422
 - 0 0 A INACTIVE
Charlotte S. Cohen & Company, Inc.
CRD: 6401
 - 0 0 A INACTIVE
Charlton Investment Services Corporation
CRD: 6749
 - 0 0 A INACTIVE
Charm City Capital
CRD: 324353
 - 0 0 - Unknown
Chart Group Advisors, LLC
CRD: 118814
 - 0 0 A INACTIVE
Chart National Investment Management LLC
CRD: 307087
 - 0 1 - Unknown
Chart Wealth Management, LLC
CRD: 288812
 - 0 0 - Unknown
Charted Ventures LLC
CRD: 328572
 - 0 1 - Unknown
Charter Advisory Corporation
CRD: 113390
 - 0 14 - Unknown
Charter Advisory Group
CRD: 283795
 - 0 2 - Unknown
Charter Advisory Services, LLC
CRD: 288303
 - 0 2 - Unknown
Charter Asset Management GP LLC
CRD: 173952
 - 0 1 - Unknown
Charter Atlantic Securities Company, Inc.
CRD: 19737
 - 0 0 A INACTIVE
Charter Capital Management, Inc.
CRD: 35919
 - 0 1 A INACTIVE
Charter Capital Management, LLC
CRD: 116847
 - 0 0 - Unknown
Charter Capital Securities Corporation
CRD: 15053
 - 0 0 A INACTIVE
Charter Equity Research, Inc.
CRD: 166416
 - 0 0 - Unknown
Charter Facility Funding, LLC
CRD: 289272
 - 0 0 - Unknown
Charter Investment Group, Inc.
CRD: 7410
 - 0 0 A INACTIVE
Charter Investment Group, Inc.
CRD: 42506
 - 0 0 A INACTIVE
Charter Investment Services, Inc.
CRD: 128984
 - 0 0 - Unknown
Charter NEW England Agency, Inc.
CRD: 44914
 - 0 0 A INACTIVE
Charter OAK Advisors LP
CRD: 328387
 - 0 1 - Unknown
Charter OAK Asset Management, Inc.
CRD: 27823
 - 0 1 A INACTIVE
Charter OAK Capital Management
CRD: 120870
 - 0 12 - Unknown
Charter OAK Equity Management, LLC
CRD: 161737
 - 0 1 - Unknown
Charter OAK Investment Network LLC.
CRD: 153382
 - 0 0 - Unknown
Charter ONE Securities, Inc.
CRD: 13373
 - 2 0 B INACTIVE
Charter Private Capital Management, LLC
CRD: 155417
 - 0 1 - Unknown
Charter Research & Investment Group Inc
CRD: 106452
 - 0 4 - Unknown
Charter Reserve Equities Company
CRD: 14231
 - 0 0 A INACTIVE
Charter Securities Corporation
CRD: 18330
 - 0 0 A INACTIVE
Charter Securities Corporation
CRD: 7062
 - 0 0 A INACTIVE
Charter Venture Capital
CRD: 163341
 - 0 0 - Unknown
Charter Wealth Management
CRD: 162299
 - 0 3 - Unknown
Chartered Advisory Group
CRD: 116517
 - 0 4 - Unknown
Chartered Financial Consultants, Ltd.
CRD: 13465
 - 0 0 A INACTIVE
Chartered Planning, Ltd.
CRD: 13029
 - 0 0 A INACTIVE
Chartered Wealth Partners, LP
CRD: 338720
 - 0 0 - Unknown
Charterhouse Capital Partners LLP
CRD: 160237
 - 0 0 - Unknown
Charterhouse Japhet, Inc.
CRD: 14967
 - 0 0 A INACTIVE
Charterhouse Media Group
CRD: 23351
 - 0 0 A INACTIVE
Page 296 of 1601 (80,028 total)
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