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 |
|---|---|---|---|---|---|
| Clifton, Roger Lambert CRD: 118284 | - | 0 | 2 | - | Unknown |
| Cliintel Capital Management Group, LLC CRD: 286621 | - | 0 | 1 | - | Unknown |
| Climactic Management, LLC CRD: 322367 | - | 0 | 1 | - | Unknown |
| Climate Asset Management CRD: 325030 | - | 0 | 0 | - | Unknown |
| Climate Fund Managers B.V. CRD: 329507 | - | 0 | 0 | - | Unknown |
| Climate Investment CRD: 323024 | - | 0 | 1 | - | Unknown |
| Climber Capital SA CRD: 284784 | - | 0 | 0 | - | Unknown |
| Climbing Rose Capital LLC CRD: 290028 | - | 0 | 1 | - | Unknown |
| Clime Capital Management PTE. Ltd. CRD: 330308 | - | 0 | 0 | - | Unknown |
| Climeco Environmental Capital Management LLC CRD: 175407 | - | 0 | 1 | - | Unknown |
| Cline Capital Management CRD: 333919 | - | 0 | 0 | - | Unknown |
| Cline Financial CRD: 323924 | - | 0 | 0 | - | Unknown |
| Cline Financial Concepts, LLC CRD: 135679 | - | 0 | 1 | - | Unknown |
| Clinger & Co., Inc. CRD: 1471 | - | 11 | 0 | D | INACTIVE |
| Clink Savings Inc. CRD: 175342 | - | 0 | 0 | - | Unknown |
| Clinton and Hamilton, Inc. CRD: 42605 | - | 0 | 0 | A | INACTIVE |
| Clinton Burch Financial Planning CRD: 301195 | - | 0 | 1 | - | Unknown |
| Clinton Group, Inc CRD: 106253 | - | 0 | 0 | - | Unknown |
| Clinton O. Mayer, JR. CRD: 2693 | - | 0 | 0 | A | INACTIVE |
| Clinton Retail Investment Management LLC CRD: 282675 | - | 0 | 0 | - | Unknown |
| Clinton Wealth Management LLC CRD: 271041 | - | 0 | 0 | - | Unknown |
| Clintsman Financial Planning CRD: 120293 | - | 0 | 0 | - | Unknown |
| Clio Asset Management LLC CRD: 298041 | - | 0 | 1 | - | Unknown |
| Clipper Advisor LLC CRD: 283513 | - | 0 | 0 | - | Unknown |
| Clipway Limited CRD: 327704 | - | 0 | 0 | - | Unknown |
| Cliveden Capital Management, LLC CRD: 168725 | - | 0 | 2 | - | Unknown |
| CLLC Equities Corp. CRD: 15878 | - | 0 | 0 | A | INACTIVE |
| CLM Capital Management LLC CRD: 114835 | - | 0 | 0 | - | Unknown |
| CLNC Manager, LLC CRD: 291618 | - | 0 | 0 | - | Unknown |
| Cloak Advisors CRD: 137781 | - | 0 | 1 | - | Unknown |
| Cloch Trading LLC CRD: 103961 | - | 0 | 0 | A | INACTIVE |
| Clock Tower Wealth Management, Inc. CRD: 316543 | - | 0 | 0 | - | Unknown |
| Clocktower Group, L.P. CRD: 158142 | - | 0 | 1 | - | Unknown |
| Clockwise Capital LLC CRD: 175233 | - | 0 | 1 | - | Unknown |
| Clockwork Capital, LLC CRD: 329271 | - | 0 | 1 | - | Unknown |
| Clockwork Management LLC CRD: 334276 | - | 0 | 1 | - | Unknown |
| Closed END Trading LLC CRD: 335394 | - | 0 | 1 | - | Unknown |
| Closed Loop Capital Management CRD: 307079 | - | 0 | 1 | - | Unknown |
| Closed Loop Fund GP, LLC CRD: 283547 | - | 0 | 0 | - | Unknown |
| Clothier Springs Capital Management, LLC CRD: 153180 | - | 0 | 1 | - | Unknown |
| Cloud Apps Capital Partners CRD: 172001 | - | 0 | 1 | - | Unknown |
| Cloud Capital CRD: 317325 | - | 0 | 4 | - | Unknown |
| Cloud Capital Advisors LLC CRD: 314113 | - | 0 | 1 | - | Unknown |
| Cloud Capital LLC CRD: 150275 | - | 0 | 0 | - | Unknown |
| Cloud City Investment Advisors, LLC CRD: 308526 | - | 0 | 0 | - | Unknown |
| Cloud Fund Management, LLC CRD: 166841 | - | 0 | 0 | - | Unknown |
| Cloud Health Euroventures, LLC CRD: 327250 | - | 0 | 1 | - | Unknown |
| Cloud Investments, LLC CRD: 281915 | - | 0 | 2 | - | Unknown |
| Cloud Peak Advisors CRD: 293021 | - | 0 | 1 | - | Unknown |
| Cloudalpha Capital Management Limited CRD: 315918 | - | 0 | 0 | - | Unknown |