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
Commonwealth Church Finance, Inc.
CRD: 11768
 - 6 0 D INACTIVE
Commonwealth Continuum Advisors
CRD: 332907
 - 0 0 - Unknown
Commonwealth Credit Advisors, LLC
CRD: 312541
 - 0 1 - Unknown
Commonwealth Equity Securities
CRD: 8515
 - 0 0 A INACTIVE
Commonwealth Family Office
CRD: 338805
 - 0 1 - Unknown
Commonwealth Financial Group, Inc.
CRD: 32505
 - 0 0 A INACTIVE
Commonwealth Financial Network
CRD: 8032
 MA 43 2,493 B Active
Commonwealth Funding, Inc.
CRD: 18122
 - 0 0 A INACTIVE
Commonwealth Guardians
CRD: 329459
 - 0 1 - Unknown
Commonwealth Institutional Securities, Inc.
CRD: 22305
 - 0 0 A INACTIVE
Commonwealth Interests, Inc.
CRD: 16839
 - 0 0 A INACTIVE
Commonwealth Investment Inc.
CRD: 14063
 - 0 0 A INACTIVE
Commonwealth Opportunity Capital GP, LLC
CRD: 158229
 - 0 0 - Unknown
Commonwealth Retirement Investments LLC
CRD: 285998
 - 0 2 - Unknown
Commonwealth Securities and Investments, Inc.
CRD: 7399
 - 2 0 B INACTIVE
Commonwealth Securities Corporation
CRD: 13712
 - 0 0 A INACTIVE
Commonwealth Securities of Utah
CRD: 14396
 - 0 0 A INACTIVE
Commonwealth Venture Management Corp.
CRD: 161567
 - 0 1 - Unknown
Commonwealth Ventures Ltd.
CRD: 13040
 - 0 0 A INACTIVE
Communication Capital Partners, LLC
CRD: 162954
 - 0 1 - Unknown
Communications Equity Associates, LLC
CRD: 13382
 - 1 0 B INACTIVE
Communitas Capital Partners, LLC
CRD: 318772
 - 0 1 - Unknown
Communitas Financial Planning PBC
CRD: 157708
 - 0 2 - Unknown
Community Bancapital (CBC)
CRD: 161627
 - 0 0 - Unknown
Community Bancbrokerage Corporation
CRD: 23582
 - 0 0 A INACTIVE
Community Bankers Securities, LLC
CRD: 42794
 - 14 0 D INACTIVE
Community Brokerage Services, Incorporated
CRD: 36746
 - 0 0 A INACTIVE
Community Capital Management, LLC
CRD: 109368
 - 0 2 - Unknown
Community Cure Inc
CRD: 306713
 - 0 0 - Unknown
Community Development Associates, LLC.
CRD: 149682
 - 0 0 - Unknown
Community Development Fund Advisors, LLC
CRD: 281617
 - 0 1 - Unknown
Community Equities Corporation
CRD: 15617
 - 0 0 A INACTIVE
Community Financial Centers, Inc.
CRD: 39146
 - 0 0 A INACTIVE
Community Financial Group, Inc.
CRD: 129472
 - 0 2 - Unknown
Community First Credit Union
CRD: 173804
 - 0 0 - Unknown
Community Investment Management LLC
CRD: 174204
 - 0 1 - Unknown
Community Investment Services, Inc.
CRD: 46332
 - 0 0 A INACTIVE
Community Ladders
CRD: 165629
 - 0 0 - Unknown
Community Reinvestment Advisors, Inc.
CRD: 161133
 - 0 0 - Unknown
Community Securities of NEW Jersey, Inc.
CRD: 14803
 - 0 0 A INACTIVE
Community Tailored Opportunities LLC
CRD: 329076
 - 0 1 - Unknown
Community US Fund Management, Inc.
CRD: 313802
 - 0 1 - Unknown
Community Wealth Builders
CRD: 311060
 - 0 0 - Unknown
Commvest Securities,Inc.
CRD: 13500
 - 0 0 A INACTIVE
Como Securities, Inc.
CRD: 23953
 - 0 0 A INACTIVE
Compa Capital GP, LLC
CRD: 321774
 - 0 1 - Unknown
Compak Asset Management
CRD: 109930
 - 0 6 - Unknown
Compak Securities, Inc.
CRD: 125472
 CA 0 3 A Active
Companions on Your Journey
CRD: 292618
 - 0 1 - Unknown
Company Venture Capital Management, LLC
CRD: 299250
 - 0 1 - Unknown
Page 331 of 1601 (80,028 total)
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