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 |
|---|---|---|---|---|---|
| Clerkie Advisory LLC CRD: 291724 | - | 0 | 0 | - | Unknown |
| Clessidra SGR S.P.A. CRD: 163492 | - | 0 | 0 | - | Unknown |
| Cleveland Avenue Advisers, LLC CRD: 318250 | - | 0 | 1 | - | Unknown |
| Cleveland Capital Management CRD: 145950 | - | 0 | 0 | - | Unknown |
| Cleveland Capital Management, L.L.C. CRD: 341686 | - | 0 | 1 | - | Unknown |
| Cleveland Digital Limited CRD: 325124 | - | 0 | 0 | - | Unknown |
| Cleveland Hauswirth Investment Management, Inc. CRD: 132307 | - | 0 | 0 | A | INACTIVE |
| Cleveland Research Company LLC CRD: 142230 | OH | 0 | 3 | A | Active |
| Cleveland Retirement Planning LLC CRD: 308911 | - | 0 | 1 | - | Unknown |
| Cleveland Wealth, LLC CRD: 282196 | - | 0 | 1 | - | Unknown |
| Cleven, Donald Wallace CRD: 32343 | - | 0 | 0 | A | INACTIVE |
| Clever Financial Corporation CRD: 147562 | - | 0 | 0 | - | Unknown |
| Cleveralpha CRD: 301620 | - | 0 | 2 | - | Unknown |
| Cleverinvesting LLC CRD: 285779 | - | 0 | 1 | - | Unknown |
| CLF Asset Management, Inc. CRD: 284060 | - | 0 | 1 | - | Unknown |
| CLFS Securities, Inc. CRD: 7760 | - | 0 | 0 | A | INACTIVE |
| CLG Investment Company, Inc. CRD: 10141 | - | 0 | 0 | A | INACTIVE |
| CLG LLC CRD: 282605 | - | 0 | 14 | - | Unknown |
| CLI Securities Corporation CRD: 15317 | - | 0 | 0 | A | INACTIVE |
| Clic Financial Services, Inc. CRD: 21634 | - | 0 | 0 | A | INACTIVE |
| Click Capital Management, LLC CRD: 142337 | - | 0 | 0 | - | Unknown |
| Click Capital Markets CRD: 168376 | AZ | 0 | 2 | A | Active |
| Click Portfolios Ltd. CRD: 285775 | - | 0 | 0 | - | Unknown |
| CLICKRFP.COM, Inc. CRD: 104462 | - | 0 | 0 | A | INACTIVE |
| Client 1ST Advisory Group CRD: 167790 | - | 0 | 1 | - | Unknown |
| Client 1ST Wealth Management, Inc. CRD: 116970 | - | 0 | 0 | - | Unknown |
| Client Capital Wealth Management, LLC CRD: 281203 | - | 0 | 0 | - | Unknown |
| Client First Advisors, LLC CRD: 159254 | - | 0 | 1 | - | Unknown |
| Client First Capital, LLC CRD: 300684 | - | 0 | 1 | - | Unknown |
| Client First Finance LLC CRD: 135642 | - | 0 | 2 | - | Unknown |
| Client First Financial Advisors, LLC CRD: 141995 | - | 0 | 1 | - | Unknown |
| Client First Investment Management, Inc. CRD: 155301 | - | 0 | 0 | - | Unknown |
| Client Focused Financial CRD: 289929 | - | 0 | 1 | - | Unknown |
| Client-Centered Cross-Border Private Wealth Adviso… CRD: 140373 | - | 0 | 0 | - | Unknown |
| Clientfirst Wealth Management, LLC CRD: 120286 | - | 0 | 3 | - | Unknown |
| Clients First Wealth Management, LLC CRD: 160341 | - | 0 | 0 | - | Unknown |
| Clifden Equities, LLC CRD: 38278 | - | 1 | 0 | B | INACTIVE |
| Clifford Capital Management CRD: 119517 | - | 0 | 0 | - | Unknown |
| Clifford Capital Markets PTE. Ltd. CRD: 339337 | - | 0 | 0 | - | Unknown |
| Clifford Drake & Company Inc. CRD: 7092 | - | 0 | 0 | A | INACTIVE |
| Clifford Financial Planning, Inc. CRD: 112978 | - | 0 | 1 | - | Unknown |
| Clifford Investment Counsel, LLC CRD: 119214 | - | 0 | 0 | - | Unknown |
| Clifford Securities Ltd. CRD: 14220 | - | 0 | 0 | A | INACTIVE |
| Clifford Swan Investment Counselors CRD: 108033 | - | 0 | 2 | - | Unknown |
| Cliffwater Investments LLC CRD: 169554 | - | 0 | 0 | - | Unknown |
| Cliffwater LLC CRD: 132167 | - | 0 | 1 | - | Unknown |
| Clifton First LLC CRD: 333072 | - | 0 | 1 | - | Unknown |
| Clifton Gardiner & Company CRD: 21828 | - | 0 | 0 | A | INACTIVE |
| Clifton Management PTE. Ltd. CRD: 332889 | - | 0 | 0 | - | Unknown |
| Clifton Myers Financial Advisory CRD: 132638 | - | 0 | 2 | - | Unknown |