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 |
|---|---|---|---|---|---|
| Compound Value Advisers, LLC CRD: 168084 | - | 0 | 1 | - | Unknown |
| Compound Wealth Advisors CRD: 288240 | - | 0 | 1 | - | Unknown |
| Compound Wealth, Advisory and TAX LLC CRD: 337358 | - | 0 | 3 | - | Unknown |
| Compounding Gems Advisors, LLC CRD: 327351 | - | 0 | 1 | - | Unknown |
| Compounding LLC CRD: 322638 | - | 0 | 0 | - | Unknown |
| Comprehensive Capital Corporation CRD: 6215 | - | 11 | 0 | D | INACTIVE |
| Comprehensive Capital Management, Inc. CRD: 119890 | - | 0 | 12 | - | Unknown |
| Comprehensive Financial Advisers CRD: 121488 | - | 0 | 2 | - | Unknown |
| Comprehensive Financial Consultants CRD: 310603 | - | 0 | 1 | - | Unknown |
| Comprehensive Financial Planning for Doctors, LLC CRD: 316859 | - | 0 | 1 | - | Unknown |
| Comprehensive Financial Services CRD: 111662 | - | 0 | 0 | - | Unknown |
| Comprehensive Money Management Services LLC CRD: 121061 | - | 0 | 2 | - | Unknown |
| Comprehensive Partners, LLC CRD: 165401 | - | 0 | 0 | - | Unknown |
| Comprehensive Physicians Retirement Investing CRD: 114380 | - | 0 | 2 | - | Unknown |
| Comprehensive Planning Corporation CRD: 122027 | - | 0 | 0 | - | Unknown |
| Comprehensive Retirement Plan Consultants, LLC CRD: 165236 | - | 0 | 0 | - | Unknown |
| Compton Advisors, LLC CRD: 126614 | - | 0 | 2 | - | Unknown |
| Compton Capital Management Inc CRD: 107002 | - | 0 | 0 | - | Unknown |
| Compton Equity, LLC CRD: 293328 | - | 0 | 0 | - | Unknown |
| Compton Financial Group, LLC CRD: 319442 | - | 0 | 1 | - | Unknown |
| Compuclear, Inc. CRD: 14985 | - | 0 | 0 | A | INACTIVE |
| Compulife Investor Services, Inc. CRD: 21543 | - | 2 | 0 | B | INACTIVE |
| Computer Clearing Services Inc CRD: 20776 | - | 5 | 0 | C | INACTIVE |
| Computer Science Graduate Ventures Management, LLC CRD: 317640 | - | 0 | 1 | - | Unknown |
| Computer Securities Company CRD: 10589 | - | 0 | 0 | A | INACTIVE |
| Computershare Securities Corporation CRD: 107023 | - | 3 | 0 | C | INACTIVE |
| Comrie Wealth Management CRD: 173546 | - | 0 | 0 | - | Unknown |
| Comstock Investments, Inc. CRD: 1393 | - | 0 | 0 | A | INACTIVE |
| Comstock Partners, L.L.C. CRD: 37544 | CA | 1 | 2 | B | Active |
| Comstock Securities Corporation CRD: 13742 | - | 0 | 0 | A | INACTIVE |
| Comstock Trading Corp. CRD: 28015 | - | 0 | 0 | A | INACTIVE |
| Comunidad Realty Partners CRD: 315665 | - | 0 | 1 | - | Unknown |
| Comus Investment, LLC CRD: 285941 | - | 0 | 1 | - | Unknown |
| Comvest Advisors LLC CRD: 160753 | - | 0 | 1 | - | Unknown |
| Comvest Credit Advisors, LLC CRD: 311663 | - | 0 | 1 | - | Unknown |
| Comvest Credit Managers, LLC CRD: 322342 | - | 0 | 1 | - | Unknown |
| Comvest Partners, Inc. CRD: 38447 | - | 0 | 0 | A | INACTIVE |
| CON AM Securities, Inc. CRD: 13148 | - | 1 | 0 | B | INACTIVE |
| Conarb Partners, L.P. CRD: 21768 | - | 0 | 0 | A | INACTIVE |
| Conatus Capital Management LP CRD: 157701 | - | 0 | 0 | - | Unknown |
| Concap LLC CRD: 321873 | - | 0 | 1 | - | Unknown |
| Concentio Capital Management, LLC CRD: 281370 | - | 0 | 2 | - | Unknown |
| Concentrated Risk Solutions Inc. CRD: 171758 | - | 0 | 2 | - | Unknown |
| Concentric CRD: 321633 | - | 0 | 8 | - | Unknown |
| Concentric Capital Strategies L.P. CRD: 313057 | - | 0 | 1 | - | Unknown |
| Concentric Team LLP CRD: 331298 | - | 0 | 0 | - | Unknown |
| Concentric Wealth Management LLC CRD: 144773 | - | 0 | 0 | - | Unknown |
| Concentrum Wealth Management CRD: 167151 | - | 0 | 4 | - | Unknown |
| Concentus Global Partners, LLC CRD: 164964 | - | 0 | 0 | - | Unknown |
| Concentus Wealth Advisors CRD: 170052 | - | 0 | 1 | - | Unknown |