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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Colquette Group, Inc.
CRD: 164315
 - 0 0 - Unknown
Colrain Capital LLC
CRD: 118098
 - 0 1 - Unknown
Colsara National Wealth Management LLC
CRD: 305167
 - 0 1 - Unknown
Colt Financial
CRD: 283331
 - 0 0 - Unknown
Colter Lewis Investment Partners, LLC
CRD: 297213
 - 0 1 - Unknown
Coltin Securities, LLC
CRD: 149674
 - 0 0 A INACTIVE
Colton Financial, Inc.
CRD: 22439
 - 0 0 A INACTIVE
Colton Wealth Management
CRD: 150486
 - 0 1 - Unknown
Coltrade Global Ltd
CRD: 337413
 - 0 1 - Unknown
Coltwood Advisors, LLC
CRD: 165882
 - 0 0 - Unknown
Columbia Advisory Partners, LLC
CRD: 171616
 - 0 6 - Unknown
Columbia Asset Management, L.L.C.
CRD: 124174
 - 0 2 - Unknown
Columbia Benefits, LLC
CRD: 132261
 - 0 2 - Unknown
Columbia Capital
CRD: 159616
 - 0 1 - Unknown
Columbia Capital Equities, Inc.
CRD: 13829
 - 0 0 A INACTIVE
Columbia Capital Management, LLC
CRD: 112773
 - 0 2 - Unknown
Columbia Capital Securities, Inc.
CRD: 146838
 CA 0 3 A Active
Columbia Cent CLO Advisers, LLC
CRD: 310864
 - 0 1 - Unknown
Columbia Dubrin Realty Advisors LLC
CRD: 116487
 - 0 0 - Unknown
Columbia Equity Financial Corp.
CRD: 37380
 - 0 0 A INACTIVE
Columbia Financial Center Incorporated
CRD: 23562
 - 0 0 A INACTIVE
Columbia Financial Group, Inc.
CRD: 13314
 - 0 0 A INACTIVE
Columbia Group Securities, Inc.
CRD: 13589
 - 0 0 A INACTIVE
Columbia Hospital Securities Corporation
CRD: 24197
 - 0 0 A INACTIVE
Columbia Investment Services, Inc.
CRD: 17462
 - 0 0 A INACTIVE
Columbia Investment Services, Inc.
CRD: 18206
 - 0 0 A INACTIVE
Columbia Lake Partners
CRD: 173088
 - 0 0 - Unknown
Columbia Management Investment Advisers, LLC
CRD: 108257
 - 0 132 - Unknown
Columbia Management Investment Distributors, Inc.
CRD: 840
 MA 1 14 B Active
Columbia Partners, L.L.C. Investment Management
CRD: 107855
 - 0 0 - Unknown
Columbia Private Markets
CRD: 335301
 WA 0 1 A Active
Columbia River Advisors
CRD: 154571
 - 0 5 - Unknown
Columbia River Financial Group
CRD: 288539
 - 0 1 - Unknown
Columbia Securities Company, Inc.
CRD: 13816
 - 0 0 A INACTIVE
Columbia Threadneedle (EM) Investments Limited
CRD: 160460
 - 0 0 - Unknown
Columbia Threadneedle Investments
CRD: 131168
 - 0 0 - Unknown
Columbia Threadneedle Management Limited
CRD: 111598
 - 0 0 - Unknown
Columbia Wealth Advisors LLC
CRD: 288720
 - 0 2 - Unknown
Columbia West Capital, LLC
CRD: 135562
 AZ 0 2 A Active
Columbine Securities, Inc.
CRD: 6371
 - 0 0 A INACTIVE
Columbine Wealth Planning, LLC
CRD: 289314
 - 0 0 - Unknown
Columbus Advisory Group, Ltd.
CRD: 126331
 - 6 0 C INACTIVE
Columbus Capital Corp.
CRD: 6076
 - 0 0 A INACTIVE
Columbus Capital Management Ltd
CRD: 163915
 - 0 0 - Unknown
Columbus Capital Management, LLC
CRD: 136241
 - 0 0 - Unknown
Columbus Circle Investors
CRD: 111878
 - 0 0 - Unknown
Columbus Equities International, Inc.
CRD: 7559
 - 0 0 A INACTIVE
Columbus Financial, Inc.
CRD: 22709
 - 0 0 A INACTIVE
Columbus Hill Capital Management, L.P.
CRD: 158336
 - 0 1 - Unknown
Columbus Investment Advisory Inc.
CRD: 104595
 - 0 2 - Unknown
Page 328 of 1601 (80,028 total)
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