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 |
|---|---|---|---|---|---|
| Compass Rose Asset Management CRD: 297010 | - | 0 | 1 | - | Unknown |
| Compass Rose Financial Planning & Investment Manag… CRD: 144566 | - | 0 | 1 | - | Unknown |
| Compass Rose Private Investment Management CRD: 286628 | - | 0 | 0 | - | Unknown |
| Compass Rose Strategic Partners LLC CRD: 165043 | - | 0 | 1 | - | Unknown |
| Compass Securities Corporation CRD: 16168 | MA | 1 | 8 | B | Active |
| Compass Technology Group, Inc. CRD: 157388 | - | 0 | 3 | - | Unknown |
| Compass Wealth Advisor CRD: 341067 | - | 0 | 1 | - | Unknown |
| Compass Wealth Advisors CRD: 165749 | - | 0 | 2 | - | Unknown |
| Compass Wealth Advisors LLC CRD: 287609 | - | 0 | 0 | - | Unknown |
| Compass Wealth Advisors, LLC CRD: 117129 | - | 0 | 0 | - | Unknown |
| Compass Wealth Management LLC CRD: 293356 | - | 0 | 0 | - | Unknown |
| Compass Wealth Management LLC CRD: 106289 | - | 0 | 4 | - | Unknown |
| Compass Wealth Management, LLC CRD: 136273 | - | 0 | 2 | - | Unknown |
| Compass Wealth Management, LLC CRD: 156482 | - | 0 | 2 | - | Unknown |
| Compass Wealth Management, LLC CRD: 130693 | - | 0 | 1 | - | Unknown |
| Compass68 Manager LLC CRD: 327228 | - | 0 | 0 | - | Unknown |
| Compendium Finance LLC CRD: 171618 | - | 0 | 0 | - | Unknown |
| Comperio Retirement Consulting, Inc. CRD: 140786 | - | 0 | 1 | - | Unknown |
| Complete Advisors CRD: 307127 | - | 0 | 1 | - | Unknown |
| Complete Trade CRD: 104042 | - | 0 | 0 | A | INACTIVE |
| Complete View Financial LLC CRD: 305247 | - | 0 | 1 | - | Unknown |
| Completeadvisors CRD: 152419 | - | 0 | 0 | - | Unknown |
| Complex Capital Management, LLC CRD: 296478 | - | 0 | 0 | - | Unknown |
| Complus Asset Management (UK) Limited CRD: 329571 | - | 0 | 0 | - | Unknown |
| Compo Advisors, LLC CRD: 297348 | - | 0 | 1 | - | Unknown |
| Composability GP Limited CRD: 319734 | - | 0 | 0 | - | Unknown |
| Compose Capital CRD: 326350 | - | 0 | 0 | - | Unknown |
| Composed Capital LLC CRD: 340948 | - | 0 | 1 | - | Unknown |
| Composedpro, Inc. CRD: 297440 | - | 0 | 1 | - | Unknown |
| Composer Technologies CRD: 311289 | - | 0 | 0 | - | Unknown |
| Composite Capital Management (HK) Limited CRD: 284500 | - | 0 | 0 | - | Unknown |
| Composite Capital Management (SG) PTE. Ltd. CRD: 337252 | - | 0 | 0 | - | Unknown |
| Composite Ventures Group, LLC CRD: 310718 | - | 0 | 1 | - | Unknown |
| Compositecap, LLC CRD: 343141 | - | 0 | 1 | - | Unknown |
| Composition Capital LP CRD: 332182 | - | 0 | 1 | - | Unknown |
| Composition Capital Partners B.V. CRD: 160458 | - | 0 | 0 | - | Unknown |
| Composition Wealth, LLC CRD: 143483 | - | 0 | 63 | - | Unknown |
| Compound Advisers, Inc. CRD: 306341 | - | 0 | 0 | - | Unknown |
| Compound Advisors, LLC CRD: 165300 | - | 0 | 1 | - | Unknown |
| Compound Advisory CRD: 334484 | - | 0 | 1 | - | Unknown |
| Compound Capital Advisors, LLC CRD: 301339 | - | 0 | 0 | - | Unknown |
| Compound Capital Holdings LLC CRD: 338498 | - | 0 | 1 | - | Unknown |
| Compound Capital LLC CRD: 314587 | - | 0 | 0 | - | Unknown |
| Compound Capital Management CRD: 163159 | - | 0 | 0 | - | Unknown |
| Compound Capital Management LLC CRD: 164948 | - | 0 | 0 | - | Unknown |
| Compound Family Offices, LLC CRD: 298776 | - | 0 | 1 | - | Unknown |
| Compound Global Advisors, LLC CRD: 318889 | - | 0 | 1 | - | Unknown |
| Compound Insight CRD: 298150 | - | 0 | 1 | - | Unknown |
| Compound Interest Investing LLC CRD: 282215 | - | 0 | 0 | - | Unknown |
| Compound Planning, Inc. CRD: 171787 | - | 0 | 77 | - | Unknown |