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 |
|---|---|---|---|---|---|
| CMR Investments CRD: 171625 | - | 0 | 0 | - | Unknown |
| CMRF Advisors OY CRD: 322846 | - | 0 | 0 | - | Unknown |
| CMS Financial CRD: 333567 | - | 0 | 1 | - | Unknown |
| CMS Financial Group, Inc. CRD: 26060 | - | 0 | 0 | A | INACTIVE |
| CMS Fund Advisers, LLC CRD: 154682 | - | 0 | 0 | - | Unknown |
| CMS Investment Resources, LLC CRD: 10102 | - | 1 | 0 | B | INACTIVE |
| CMS Wealth Management CRD: 105903 | - | 0 | 0 | - | Unknown |
| CMT Asset Management LLC CRD: 290487 | - | 0 | 1 | - | Unknown |
| CMT Financial CRD: 341782 | - | 0 | 1 | - | Unknown |
| CMT Financial Group CRD: 15481 | - | 0 | 0 | A | INACTIVE |
| CMT Portfolio Advisors LLC CRD: 170952 | - | 0 | 1 | - | Unknown |
| CMT Securities, LLC CRD: 113168 | - | 0 | 0 | A | INACTIVE |
| CMT Trading LLC CRD: 169286 | - | 1 | 0 | B | INACTIVE |
| CMZ Trading, LLC CRD: 132051 | - | 6 | 0 | D | INACTIVE |
| CN Wealth LLC CRD: 334386 | - | 0 | 1 | - | Unknown |
| CN Wealth Management, LLC CRD: 150469 | - | 0 | 1 | - | Unknown |
| CNA Securities Corp CRD: 3016 | - | 0 | 0 | A | INACTIVE |
| CNB Investments, Inc. CRD: 17987 | - | 0 | 0 | A | INACTIVE |
| CNBS CRD: 24153 | - | 2 | 0 | B | INACTIVE |
| CND Financial CRD: 110180 | - | 0 | 3 | - | Unknown |
| CND Financial Ltd. CRD: 132864 | - | 1 | 0 | B | INACTIVE |
| CNG Capital Corporation CRD: 21893 | - | 0 | 0 | A | INACTIVE |
| CNI Ccef Advisors, LLC CRD: 282366 | - | 0 | 0 | - | Unknown |
| CNI NRE Advisors, LLC CRD: 291968 | - | 0 | 0 | - | Unknown |
| CNI NS/RXR Advisors, LLC CRD: 292300 | - | 0 | 0 | - | Unknown |
| CNI NSHC Advisors, LLC CRD: 292301 | - | 0 | 0 | - | Unknown |
| CNI NSI Advisors, LLC CRD: 292883 | - | 0 | 0 | - | Unknown |
| CNI Recf Advisors, LLC CRD: 282562 | - | 0 | 0 | - | Unknown |
| CNI Securities, Inc. CRD: 38281 | - | 0 | 0 | A | INACTIVE |
| CNI Tcef Advisors, LLC CRD: 284532 | - | 0 | 0 | - | Unknown |
| Cniv Financial Planning LLC CRD: 325825 | - | 0 | 1 | - | Unknown |
| CNK Equity Partners I, LLC CRD: 296996 | - | 0 | 0 | - | Unknown |
| CNL Educational Institute, LLC CRD: 175137 | - | 0 | 1 | - | Unknown |
| CNL Financial Services, Inc. CRD: 16725 | - | 0 | 0 | A | INACTIVE |
| CNL Fund Advisors Company CRD: 107117 | - | 0 | 0 | - | Unknown |
| CNL Fund Advisors II, LLC CRD: 174178 | - | 0 | 1 | - | Unknown |
| CNL Residential Credit Manager CRD: 335786 | - | 0 | 1 | - | Unknown |
| CNL Securities Corp. CRD: 10356 | FL | 1 | 2 | B | Active |
| CNL Strategic Capital Management, LLC CRD: 286342 | - | 0 | 1 | - | Unknown |
| CNL, Inc. CRD: 15820 | - | 0 | 0 | A | INACTIVE |
| CNM Ingenuity, Inc. CRD: 302061 | - | 0 | 1 | - | Unknown |
| CNR Securities, LLC CRD: 18466 | NY | 4 | 9 | B | Active |
| CNRY Management Company Ltda. CRD: 288067 | - | 0 | 0 | - | Unknown |
| CNS Distributors, Inc. CRD: 43607 | - | 1 | 0 | B | INACTIVE |
| CNS Securities, LLC CRD: 130029 | - | 0 | 0 | A | INACTIVE |
| Co-OP Securities, Inc. CRD: 15497 | - | 0 | 0 | A | INACTIVE |
| Co=Creation=Capital CRD: 282239 | - | 0 | 1 | - | Unknown |
| COA Investment Services, Ltd. CRD: 37764 | - | 0 | 0 | A | INACTIVE |
| Coach Capital Management, LLC CRD: 171038 | - | 0 | 0 | - | Unknown |
| Coachman Energy Partners LLC CRD: 169786 | - | 0 | 0 | - | Unknown |