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 |
|---|---|---|---|---|---|
| CJ3 Investments LLC CRD: 169458 | - | 0 | 0 | - | Unknown |
| CJC Capital, LLC CRD: 326645 | - | 0 | 0 | - | Unknown |
| CJC Wealth Management CRD: 325288 | - | 0 | 4 | - | Unknown |
| CJK Capital Management, LLC CRD: 173895 | - | 0 | 1 | - | Unknown |
| CJK Securities, Inc. CRD: 132759 | - | 0 | 0 | A | INACTIVE |
| CJL Quantum Analytics CRD: 330215 | - | 0 | 1 | - | Unknown |
| CJM Securities, Inc. CRD: 110706 | - | 1 | 0 | B | INACTIVE |
| CJM Wealth Advisers, Ltd. CRD: 107750 | - | 0 | 2 | - | Unknown |
| CJM Wealth Management LLC CRD: 154712 | - | 0 | 0 | - | Unknown |
| CJR Financial CRD: 306324 | - | 0 | 0 | - | Unknown |
| CJS Financial Advisers / CJSF Advisers CRD: 162503 | - | 0 | 1 | - | Unknown |
| CJS Securities IA, Inc. CRD: 326920 | - | 0 | 1 | - | Unknown |
| CJS Securities, Inc. CRD: 44823 | NY | 1 | 2 | B | Active |
| CJS Trading, L.L.C CRD: 42904 | - | 0 | 0 | A | INACTIVE |
| CJW Capital Management LLP CRD: 299681 | - | 0 | 0 | - | Unknown |
| CJW Capital, LLC CRD: 206514 | - | 0 | 5 | - | Unknown |
| CK Advisors, LLC CRD: 140062 | - | 0 | 2 | - | Unknown |
| CKC Capital LLC CRD: 168967 | - | 0 | 1 | - | Unknown |
| CKG Management CRD: 306212 | - | 0 | 0 | - | Unknown |
| Ckhfinancial LLC CRD: 320767 | - | 0 | 1 | - | Unknown |
| Ckii Investments, Inc. CRD: 14154 | - | 0 | 0 | A | INACTIVE |
| CKM Securities, LLC CRD: 42027 | - | 0 | 0 | A | INACTIVE |
| CKS Securities LLC CRD: 149837 | - | 0 | 0 | A | INACTIVE |
| CKW Financial Group, LLC CRD: 152116 | - | 0 | 1 | - | Unknown |
| CL Deerwester & Partners LLC CRD: 282585 | - | 0 | 0 | - | Unknown |
| CL Family Consulting LLC CRD: 306702 | - | 0 | 1 | - | Unknown |
| CL Management Group LLC CRD: 333339 | - | 0 | 1 | - | Unknown |
| CL Wealth Management LLC CRD: 134922 | - | 0 | 42 | - | Unknown |
| CL&B Capital Management, LLC CRD: 120924 | - | 0 | 0 | - | Unknown |
| CLA Financial Advisors, LLC CRD: 156438 | - | 0 | 0 | - | Unknown |
| Claar Advisors LLC CRD: 168314 | - | 0 | 0 | - | Unknown |
| Clade Management, LLC CRD: 307705 | - | 0 | 0 | - | Unknown |
| Cladrius Partners LLC CRD: 311065 | - | 0 | 0 | - | Unknown |
| Clai Ventures Management Company, LLC CRD: 335905 | - | 0 | 1 | - | Unknown |
| Clairmont Capital Group, LLC CRD: 313639 | - | 0 | 1 | - | Unknown |
| Clairvest GP Manageco Inc. CRD: 162568 | - | 0 | 0 | - | Unknown |
| Clairvue Capital Partners CRD: 157404 | - | 0 | 0 | - | Unknown |
| Clairwell Financial Planning LLC CRD: 328505 | - | 0 | 1 | - | Unknown |
| Clancy Capital Advisors LLC CRD: 328802 | - | 0 | 1 | - | Unknown |
| Clancy Financial Services, Inc. CRD: 133379 | - | 1 | 0 | B | INACTIVE |
| Clara Vista Management Company LLC CRD: 335893 | - | 0 | 0 | - | Unknown |
| Claraphi Advisory Network, LLC CRD: 165868 | - | 0 | 1 | - | Unknown |
| Clare Valley Capital Management LLC CRD: 281780 | - | 0 | 0 | - | Unknown |
| Claremont Capital Management, LLC CRD: 155189 | - | 0 | 1 | - | Unknown |
| Claremont Consulting LLC CRD: 166971 | - | 0 | 0 | - | Unknown |
| Claremont Creek Ventures CRD: 162803 | - | 0 | 1 | - | Unknown |
| Claremont Financial Group,Inc. CRD: 107806 | - | 0 | 1 | - | Unknown |
| Claremont Lease Investors, Ltd. CRD: 13261 | - | 0 | 0 | A | INACTIVE |
| Claren Road Asset Management, LLC CRD: 158543 | - | 0 | 0 | - | Unknown |
| Claren Road Private Credit Solutions LLC CRD: 336373 | - | 0 | 1 | - | Unknown |