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 |
|---|---|---|---|---|---|
| Code Advisors LLC CRD: 153192 | - | 0 | 0 | A | INACTIVE |
| Code Waechter LLC CRD: 289372 | - | 0 | 4 | - | Unknown |
| Coder - Bossen Corporation CRD: 10801 | - | 0 | 0 | A | INACTIVE |
| Codex Capital Asset Management, L.L.C. CRD: 309373 | - | 0 | 1 | - | Unknown |
| Codon Capital Management, LLC CRD: 314304 | - | 0 | 0 | - | Unknown |
| Codon Innovation, LLC CRD: 327569 | - | 0 | 1 | - | Unknown |
| COE Capital Management, LLC CRD: 112447 | - | 0 | 0 | - | Unknown |
| COE Financial Services, Inc. CRD: 112027 | - | 0 | 0 | - | Unknown |
| Coefficient Capital CRD: 299097 | - | 0 | 1 | - | Unknown |
| Coelho & Callahan CRD: 128639 | - | 0 | 0 | - | Unknown |
| Coeli Frontier Markets AB CRD: 282916 | - | 0 | 0 | - | Unknown |
| Coelius Management, LLC CRD: 317422 | - | 0 | 1 | - | Unknown |
| Coen & Densmore Inc CRD: 104805 | - | 0 | 0 | - | Unknown |
| Coen Investments, LLC CRD: 307690 | - | 0 | 0 | - | Unknown |
| Cofactor LLC CRD: 282657 | - | 0 | 0 | - | Unknown |
| Coffeehouse Capital CRD: 317317 | - | 0 | 1 | - | Unknown |
| Coffman Wealth Advisors, LLC CRD: 339269 | - | 0 | 1 | - | Unknown |
| Cofield Advisors LLC CRD: 291043 | - | 0 | 0 | - | Unknown |
| Cofound Ventures Management, LLC CRD: 315294 | - | 0 | 1 | - | Unknown |
| Cofounders Capital CRD: 297039 | - | 0 | 0 | - | Unknown |
| Cofounders Venture Management CRD: 322338 | - | 0 | 1 | - | Unknown |
| Cofunder Advisors CRD: 172941 | - | 0 | 1 | - | Unknown |
| COG Securities Corp. CRD: 14896 | - | 0 | 0 | A | INACTIVE |
| Cogdell Securities, Inc. CRD: 14882 | - | 3 | 0 | C | INACTIVE |
| Cogeneration Capital Securities Corporation CRD: 16005 | - | 0 | 0 | A | INACTIVE |
| Cogent Associates, LLC CRD: 330920 | VT | 0 | 1 | A | Active |
| Cogent Capital Group CRD: 125163 | - | 0 | 1 | - | Unknown |
| Cogent Independent Advisors, Inc. CRD: 161659 | - | 0 | 2 | - | Unknown |
| Cogent Private Wealth CRD: 319092 | - | 0 | 2 | - | Unknown |
| Cogent Strategic Wealth LLC CRD: 152715 | - | 0 | 3 | - | Unknown |
| Cogentblue CRD: 312899 | - | 0 | 5 | - | Unknown |
| Cogenuity Partners, LLC CRD: 332474 | - | 0 | 1 | - | Unknown |
| Coggins-Rufenacht Securities Corporation CRD: 13473 | - | 0 | 0 | A | INACTIVE |
| Cogitas Capital Management LLC CRD: 336021 | - | 0 | 1 | - | Unknown |
| Cogito Capital Partners CRD: 307931 | - | 0 | 0 | - | Unknown |
| Cogmentum, Inc. CRD: 131219 | - | 0 | 0 | - | Unknown |
| Cognios Capital, LLC CRD: 148361 | - | 0 | 0 | - | Unknown |
| Cognis Capital LLP CRD: 162760 | - | 0 | 0 | - | Unknown |
| Cognis Retirement Group LLC CRD: 166814 | - | 0 | 1 | - | Unknown |
| Cognitiant Registered Investment Advisors CRD: 152295 | - | 0 | 2 | - | Unknown |
| Cognition Capital Management, LLC CRD: 125625 | - | 0 | 0 | - | Unknown |
| Cognition Capital, LLC CRD: 341792 | - | 0 | 1 | - | Unknown |
| Cognition Financial LLC CRD: 330292 | - | 0 | 1 | - | Unknown |
| Cognitive Capital, LLC CRD: 131272 | IL | 1 | 2 | B | Active |
| Cognitive Trader CRD: 167062 | - | 0 | 0 | - | Unknown |
| Cognizant Wealth Advisors CRD: 162374 | - | 0 | 0 | - | Unknown |
| Cognovio Capital LLC CRD: 313794 | - | 0 | 0 | - | Unknown |
| Cogo Labs Management CRD: 323789 | - | 0 | 0 | - | Unknown |
| Cohalo CRD: 297315 | - | 0 | 1 | - | Unknown |
| Cohanzick Management LLC CRD: 149772 | - | 0 | 0 | - | Unknown |