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
Contemporary Planning Alternatives
CRD: 126834
 - 0 1 - Unknown
Content Partners LLC
CRD: 164461
 - 0 0 - Unknown
Contessa Capital
CRD: 319652
 - 0 1 - Unknown
Conteur Capital Partners LLC
CRD: 334620
 - 0 1 - Unknown
Context Advisers II, L.P.
CRD: 170800
 - 0 0 - Unknown
Context Capital Management LLC
CRD: 115167
 - 0 1 - Unknown
Context Convertible Arbitrage Fund, L.P.
CRD: 118320
 - 0 0 A INACTIVE
Context Financial LLC
CRD: 281812
 - 0 1 - Unknown
Context Ventures, LLC
CRD: 316561
 - 0 1 - Unknown
Conti Capital
CRD: 318280
 - 0 0 - Unknown
Contifinancial Services Corporation
CRD: 11200
 - 0 0 A INACTIVE
Continental Borders Trading Corporation
CRD: 104480
 - 0 0 A INACTIVE
Continental Broker-Dealer Corp.
CRD: 14048
 - 27 0 F INACTIVE
Continental Brokerage Services Inc.
CRD: 17098
 - 0 0 A INACTIVE
Continental Capital Group, Inc.
CRD: 29823
 - 0 0 A INACTIVE
Continental Capital Investment Services, Inc.
CRD: 2864
 - 7 0 D INACTIVE
Continental Capital Securities, Inc
CRD: 14635
 - 4 0 C INACTIVE
Continental Equities Corporation of America
CRD: 16383
 - 0 0 A INACTIVE
Continental Equities, Inc.
CRD: 16277
 - 0 0 A INACTIVE
Continental Equities, Inc.
CRD: 13553
 - 0 0 A INACTIVE
Continental Equities, Inc.
CRD: 37690
 - 1 0 B INACTIVE
Continental Equity Service Corp.
CRD: 24742
 - 0 0 A INACTIVE
Continental Global Financial Corporation
CRD: 23959
 - 0 0 A INACTIVE
Continental Investment Management Company
CRD: 133716
 - 0 0 - Unknown
Continental Investment Securities, Inc.
CRD: 4374
 - 0 0 A INACTIVE
Continental Investor Services Corporation
CRD: 10084
 - 0 0 A INACTIVE
Continental Investors Services, Inc.
CRD: 29775
 WA 3 10 B Active
Continental Nine Financial Management, LLC
CRD: 125638
 - 0 1 - Unknown
Continental Partners Inc
CRD: 29076
 - 0 0 A INACTIVE
Continental Resources, Inc.
CRD: 8363
 - 0 0 A INACTIVE
Continuim Equity Management, LP
CRD: 324713
 - 0 0 - Unknown
Continuim Equity Partners, LP
CRD: 328788
 - 0 1 - Unknown
Continuity Partners Group, LLC
CRD: 151381
 - 0 0 A INACTIVE
Continuity Wealth Group, LLC
CRD: 331426
 - 0 0 - Unknown
Continuity Wealth Management, Corp.
CRD: 111010
 - 0 1 - Unknown
Continuous Capital, LLC
CRD: 292774
 - 0 0 - Unknown
Continuum Advisory, LLC
CRD: 283155
 - 0 37 - Unknown
Continuum Capital Advisory, LLC
CRD: 153080
 - 0 2 - Unknown
Continuum Capital Inc.
CRD: 29864
 - 0 0 A INACTIVE
Continuum Capital Management LLC
CRD: 132052
 - 0 0 - Unknown
Continuum Financial
CRD: 175297
 - 0 0 - Unknown
Continuum Financial, LLC
CRD: 151881
 - 0 1 - Unknown
Continuum Investment Group LLC
CRD: 330646
 - 0 0 - Unknown
Contisecurities, Inc.
CRD: 6926
 - 0 0 A INACTIVE
Contos Capital LLC
CRD: 333669
 - 0 1 - Unknown
Contour Capital
CRD: 132438
 - 0 0 - Unknown
Contour Financial
CRD: 111100
 - 0 4 - Unknown
Contour Venture Partners
CRD: 162419
 - 0 1 - Unknown
Contra Investments LLC
CRD: 313230
 - 0 0 - Unknown
Contrafactum Research & Management LLC
CRD: 149591
 - 0 1 - Unknown
Page 340 of 1601 (80,028 total)
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