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 |
|---|---|---|---|---|---|
| Contrarian Capital Management LLC CRD: 109979 | - | 0 | 1 | - | Unknown |
| Contrarian Labs Inc. CRD: 298427 | - | 0 | 2 | - | Unknown |
| Contrarian Thinking Capital, LLC CRD: 321673 | - | 0 | 1 | - | Unknown |
| Contrary Legacy LLC CRD: 325014 | - | 0 | 3 | - | Unknown |
| Contrary LLC CRD: 311054 | - | 0 | 1 | - | Unknown |
| Contrast Capital Management, LLC CRD: 163534 | - | 0 | 1 | - | Unknown |
| Contravest Inc. CRD: 114592 | - | 0 | 0 | - | Unknown |
| Contravisory Investment Management, Inc. CRD: 109767 | - | 0 | 3 | - | Unknown |
| Contreras Financial, Inc. CRD: 305463 | - | 0 | 1 | - | Unknown |
| Convective Capital Management, LLC CRD: 324626 | - | 0 | 1 | - | Unknown |
| Convector Capital Management, LP CRD: 166956 | - | 0 | 0 | - | Unknown |
| Converge Management Company, LP CRD: 301982 | - | 0 | 1 | - | Unknown |
| Convergence Advisory Group CRD: 308408 | - | 0 | 1 | - | Unknown |
| Convergence Financial CRD: 304146 | - | 0 | 19 | - | Unknown |
| Convergence Investment Partners, LLC CRD: 148472 | - | 0 | 1 | - | Unknown |
| Convergence Value Partners, LLP CRD: 309670 | - | 0 | 0 | - | Unknown |
| Convergence Wealth Advisors, LLC CRD: 168973 | - | 0 | 0 | - | Unknown |
| Convergent Capital Partners, LLC CRD: 158100 | - | 0 | 1 | - | Unknown |
| Convergent Finance, LLP CRD: 320731 | - | 0 | 0 | - | Unknown |
| Convergent Financial Group CRD: 290052 | - | 0 | 1 | - | Unknown |
| Convergent Securities, LLC CRD: 151959 | - | 0 | 0 | A | INACTIVE |
| Convergent Ventures LLC CRD: 326986 | - | 0 | 1 | - | Unknown |
| Convergex Prime Services LLC CRD: 140185 | - | 1 | 0 | B | INACTIVE |
| Converium Capital Inc. CRD: 312880 | - | 0 | 0 | - | Unknown |
| Conversant Capital LLC CRD: 308201 | - | 0 | 1 | - | Unknown |
| Converse Team Financial Services, LLC CRD: 335322 | - | 0 | 1 | - | Unknown |
| Conversion Capital, LLC CRD: 301524 | - | 0 | 1 | - | Unknown |
| Convertible Hedge Partners, L.P. CRD: 28474 | - | 0 | 0 | A | INACTIVE |
| Convest Securities Distributors, Inc. CRD: 6387 | - | 0 | 0 | A | INACTIVE |
| Convex Capital Management LLC CRD: 166623 | - | 0 | 0 | - | Unknown |
| Convex Capital Markets LLC CRD: 311875 | - | 0 | 0 | A | INACTIVE |
| Convex Venture Management CRD: 331096 | - | 0 | 1 | - | Unknown |
| Convex Wealth Management CRD: 281505 | - | 0 | 0 | - | Unknown |
| Convexbeta Investments, LLC CRD: 298019 | - | 0 | 3 | - | Unknown |
| Convexitas CRD: 315145 | - | 0 | 3 | - | Unknown |
| Convexity Capital Management LP CRD: 158799 | - | 0 | 0 | - | Unknown |
| Convey Wealth LLC CRD: 322622 | - | 0 | 1 | - | Unknown |
| Conviction Partners, LLC CRD: 324113 | - | 0 | 1 | - | Unknown |
| Convivia Financial LLC CRD: 339685 | - | 0 | 1 | - | Unknown |
| Convoi Ventures, LLC CRD: 320641 | - | 0 | 1 | - | Unknown |
| Convoy Investments, LLC CRD: 174969 | - | 0 | 1 | - | Unknown |
| Conway Capital Management, Inc. CRD: 133260 | - | 0 | 2 | - | Unknown |
| Conway Financial Group, LLC CRD: 117608 | - | 0 | 1 | - | Unknown |
| Conway Jarvis LLC CRD: 112336 | - | 0 | 0 | - | Unknown |
| Conway Morgan, Inc CRD: 133699 | - | 0 | 0 | - | Unknown |
| Conway Partners CRD: 319013 | - | 0 | 2 | - | Unknown |
| Conway, Williams & Foster, Inc. CRD: 10546 | - | 0 | 0 | A | INACTIVE |
| Coogan, Gilbert & Co., Inc. CRD: 7207 | - | 0 | 0 | A | INACTIVE |
| Cook & Associates CRD: 154829 | - | 0 | 2 | - | Unknown |
| Cook & Bynum Capital Management, LLC CRD: 149454 | - | 0 | 1 | - | Unknown |