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 |
|---|---|---|---|---|---|
| Condra Capital Management, LLC CRD: 299855 | - | 0 | 0 | - | Unknown |
| Condren, Walker & Co., Incorporated CRD: 3865 | - | 0 | 0 | A | INACTIVE |
| Conductor Capital Asset Management LLP CRD: 325607 | - | 0 | 0 | - | Unknown |
| Conductor Capital Management, LLC CRD: 334351 | - | 0 | 1 | - | Unknown |
| Conduent HR Services CRD: 119721 | - | 0 | 0 | - | Unknown |
| Conduent Securities, LLC CRD: 135474 | TN | 1 | 2 | B | Active |
| Conduit CP Investment I LLC CRD: 339847 | - | 0 | 1 | - | Unknown |
| Cone Advisory Group, Inc. CRD: 316457 | - | 0 | 1 | - | Unknown |
| Cone Wealth Management CRD: 333870 | - | 0 | 1 | - | Unknown |
| Coneeny Investment Management LLC CRD: 127846 | - | 0 | 0 | - | Unknown |
| Conegliano Ventures, LLC CRD: 288138 | - | 0 | 0 | - | Unknown |
| Conejo Securities Corporation CRD: 15073 | - | 0 | 0 | A | INACTIVE |
| Conequity Investment Group, Inc. CRD: 19454 | - | 0 | 0 | A | INACTIVE |
| Conestoga Capital Advisors, LLC CRD: 111750 | - | 0 | 7 | - | Unknown |
| Conestoga Wealth Management CRD: 158981 | - | 0 | 1 | - | Unknown |
| Conestoga Wealth Partners CRD: 301964 | - | 0 | 1 | - | Unknown |
| Conexus Capital Management, LLC CRD: 284318 | - | 0 | 2 | - | Unknown |
| Confederation Financial Services (U.S.), Inc. CRD: 23735 | - | 0 | 0 | A | INACTIVE |
| Confiance Financial LLC CRD: 338506 | - | 0 | 1 | - | Unknown |
| Confiance Investment Counsel, LLC CRD: 153222 | - | 0 | 1 | - | Unknown |
| Confianza Wealth Management CRD: 330322 | - | 0 | 1 | - | Unknown |
| Confide CRD: 326192 | - | 0 | 1 | - | Unknown |
| Confidence Wealth Management, Inc. CRD: 127383 | - | 0 | 10 | - | Unknown |
| Confidential Planning I, LLC CRD: 145807 | - | 0 | 0 | - | Unknown |
| Confido Capital, LLC CRD: 331517 | - | 0 | 1 | - | Unknown |
| Confirmation Capital Management, LLC CRD: 290299 | - | 0 | 0 | - | Unknown |
| Confluence Capital Advisors, LLC CRD: 283467 | - | 0 | 1 | - | Unknown |
| Confluence Capital Investments LLC CRD: 304950 | - | 0 | 0 | - | Unknown |
| Confluence Wealth Management LLC CRD: 107810 | - | 0 | 0 | - | Unknown |
| Conger Wealth Management CRD: 136382 | - | 0 | 0 | - | Unknown |
| Congress Asset Management Company, LLP CRD: 105161 | - | 0 | 11 | - | Unknown |
| Congress Park Capital LLC CRD: 150309 | - | 0 | 4 | - | Unknown |
| Congress Securities Company CRD: 17693 | - | 0 | 0 | A | INACTIVE |
| Congress Springs Capital LLC. CRD: 114925 | - | 0 | 0 | - | Unknown |
| Congressional Capital Management CRD: 166136 | - | 0 | 0 | - | Unknown |
| Congruence Capital, LLC CRD: 328559 | - | 0 | 1 | - | Unknown |
| Congruent Capital Group, LLC CRD: 283797 | - | 0 | 0 | - | Unknown |
| Congruent Management, LLC CRD: 288096 | - | 0 | 1 | - | Unknown |
| Congruent Wealth, LLC CRD: 322579 | - | 0 | 0 | - | Unknown |
| Conifer BAY Capital LLC CRD: 287829 | - | 0 | 2 | - | Unknown |
| Conifer Management, LLC CRD: 283492 | - | 0 | 1 | - | Unknown |
| Conkin Financial Group, Inc. CRD: 328254 | - | 0 | 1 | - | Unknown |
| Conklin Financial Planning CRD: 148755 | - | 0 | 1 | - | Unknown |
| Conklin Shure Financial CRD: 316605 | - | 0 | 1 | - | Unknown |
| Conley Advisors, Inc CRD: 153167 | - | 0 | 0 | - | Unknown |
| Conley Capital Group CRD: 156399 | - | 0 | 1 | - | Unknown |
| Conley, William J. CRD: 154613 | - | 0 | 1 | - | Unknown |
| Conli, Michaels, Inc. CRD: 18257 | - | 0 | 0 | A | INACTIVE |
| Conlon Dart Wealth Management CRD: 132879 | - | 0 | 0 | - | Unknown |
| Conlon Financial Advisors & Associates CRD: 114224 | - | 0 | 0 | - | Unknown |