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 |
|---|---|---|---|---|---|
| Connaught (U.S.) LLC CRD: 300401 | - | 0 | 1 | A | Active |
| Connect Capital Management LLC CRD: 323963 | - | 0 | 1 | - | Unknown |
| Connect Financial Advisors CRD: 321212 | - | 0 | 2 | - | Unknown |
| Connect Ventures Management Company, LLC CRD: 340695 | - | 0 | 1 | - | Unknown |
| Connected Capital Private Fund Advisor LLC CRD: 329510 | - | 0 | 1 | - | Unknown |
| Connected Financial Planning CRD: 323519 | - | 0 | 0 | - | Unknown |
| Connecticut Cambridge Advisors CRD: 127744 | - | 0 | 1 | - | Unknown |
| Connecticut Capital Management Group, LLC CRD: 305013 | - | 0 | 1 | - | Unknown |
| Connecticut Capital Markets, LLC CRD: 28353 | - | 2 | 0 | B | INACTIVE |
| Connective Capital Management, LLC CRD: 161099 | - | 0 | 2 | - | Unknown |
| Connectus Wealth CRD: 310912 | - | 0 | 0 | - | Unknown |
| Connell & Associates CRD: 17971 | - | 0 | 0 | A | INACTIVE |
| Connell Securities LLC CRD: 17830 | - | 1 | 0 | B | INACTIVE |
| Connelly Capital LLC CRD: 306448 | - | 0 | 0 | - | Unknown |
| Connelly Capital Management LLC CRD: 324104 | - | 0 | 1 | - | Unknown |
| Connely Dowd Management, Inc. CRD: 124903 | - | 0 | 0 | A | INACTIVE |
| Connemara Family Office Management, LLC CRD: 150445 | - | 0 | 0 | - | Unknown |
| Connemara FEE Only Planning, LLC CRD: 154261 | - | 0 | 0 | - | Unknown |
| Conner Management Group, LLC CRD: 170063 | - | 0 | 0 | - | Unknown |
| Conners & Co., Inc. CRD: 1511 | OH | 8 | 2 | C | Active |
| Connetic Ventures CRD: 329078 | - | 0 | 1 | - | Unknown |
| Conning & Company CRD: 1512 | - | 1 | 0 | B | INACTIVE |
| Conning International Limited Partnership CRD: 8283 | - | 0 | 0 | A | INACTIVE |
| Conning International, Inc. CRD: 18371 | - | 0 | 0 | A | INACTIVE |
| Conning Investment Products, Inc. CRD: 120387 | CT | 0 | 8 | A | Active |
| Conning, Inc. CRD: 107423 | - | 0 | 1 | - | Unknown |
| Connolly Financial Advisors, LLC CRD: 288471 | - | 0 | 0 | - | Unknown |
| Connolly Financial Group CRD: 111325 | - | 0 | 2 | - | Unknown |
| Connolly Wealth Management CRD: 155240 | - | 0 | 1 | - | Unknown |
| Connor Capital Investments, LLC CRD: 153478 | - | 0 | 0 | A | INACTIVE |
| Connor Capital Management, LLC CRD: 155893 | - | 0 | 1 | - | Unknown |
| Connor Capital SB, LLC CRD: 283073 | - | 0 | 1 | - | Unknown |
| Connor Clark & Lunn Investment Management Ltd CRD: 107557 | - | 0 | 0 | - | Unknown |
| Connor Greenfield Securities Corporation CRD: 22931 | - | 0 | 0 | A | INACTIVE |
| Connors Investor Services Inc CRD: 106993 | - | 0 | 3 | - | Unknown |
| Connors James Capital LLC CRD: 281665 | - | 0 | 0 | - | Unknown |
| Connors, Sternlieb & Company, Inc. CRD: 8070 | - | 0 | 0 | A | INACTIVE |
| Conor Peterson LLC CRD: 111343 | - | 0 | 0 | A | INACTIVE |
| Conover Capital Management CRD: 118393 | - | 0 | 0 | - | Unknown |
| Conover Securities Corporation CRD: 17129 | - | 0 | 0 | A | INACTIVE |
| Conquest Investment Services, Inc. CRD: 20043 | - | 0 | 0 | A | INACTIVE |
| Conquest Securities, Inc. CRD: 10808 | - | 0 | 0 | A | INACTIVE |
| Conquis Financial LLC CRD: 319579 | - | 0 | 1 | - | Unknown |
| Conrad a. MAY, CPA, P.C. CRD: 123225 | - | 0 | 2 | - | Unknown |
| Conrad Capital Management, Inc. CRD: 113648 | - | 0 | 1 | - | Unknown |
| Conrad Securities Corporation CRD: 3854 | - | 0 | 0 | A | INACTIVE |
| Conrad, Craig and Martin, Inc. CRD: 149573 | - | 0 | 0 | - | Unknown |
| Conroy Capital LLC CRD: 338896 | - | 0 | 1 | - | Unknown |
| Conscience CRD: 315810 | - | 0 | 1 | - | Unknown |
| Conscient Capital, LLC CRD: 146689 | - | 0 | 1 | - | Unknown |