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 |
|---|---|---|---|---|---|
| Covington Capital Management CRD: 132161 | - | 0 | 0 | - | Unknown |
| Covington Capital, LLC CRD: 311183 | - | 0 | 0 | - | Unknown |
| Covington Investment Advisors, Inc. CRD: 127270 | - | 0 | 2 | - | Unknown |
| Covingtonalsina CRD: 326810 | - | 0 | 4 | - | Unknown |
| Covision Advisors LLC CRD: 285328 | - | 0 | 1 | - | Unknown |
| COW BAY Securities Corp CRD: 11778 | - | 0 | 0 | A | INACTIVE |
| COW Capital Inc CRD: 324665 | - | 0 | 1 | - | Unknown |
| COW Corner Investing Ltd CRD: 319546 | - | 0 | 0 | - | Unknown |
| Cowan Capital CRD: 325865 | - | 0 | 1 | - | Unknown |
| Cowbird Capital LP CRD: 289770 | - | 0 | 0 | - | Unknown |
| Cowboy Capital, LLC CRD: 165571 | - | 0 | 1 | - | Unknown |
| Cowen & Associates CRD: 111557 | - | 0 | 0 | - | Unknown |
| Cowen Advisors LLC CRD: 135564 | - | 0 | 0 | - | Unknown |
| Cowen and Company CRD: 7616 | - | 54 | 0 | F | INACTIVE |
| Cowen Equity Finance LP CRD: 10019 | - | 2 | 0 | B | INACTIVE |
| Cowen Execution Services LLC CRD: 35693 | - | 29 | 0 | F | INACTIVE |
| Cowen Investment Management LLC CRD: 151953 | - | 0 | 0 | - | Unknown |
| Cowen Prime Advisors LLC CRD: 315686 | - | 0 | 0 | - | Unknown |
| Cowen Prime Services LLC CRD: 153397 | - | 0 | 0 | A | INACTIVE |
| Cowen Prime Services Trading LLC CRD: 23857 | - | 8 | 0 | D | INACTIVE |
| Cowen Securities Inc. CRD: 8531 | - | 0 | 0 | A | INACTIVE |
| Cowen Securities LLC CRD: 23510 | - | 5 | 0 | C | INACTIVE |
| Cowen Securities, LP CRD: 46834 | - | 0 | 0 | A | INACTIVE |
| Cowen Trading Strategies LLC CRD: 153417 | - | 0 | 0 | - | Unknown |
| Cowling BAY Wealth Management, LLC CRD: 305685 | - | 0 | 1 | - | Unknown |
| COX & Company Investment Advisors, Inc. CRD: 162306 | - | 0 | 1 | - | Unknown |
| COX & Cook Wealth Advisors CRD: 173691 | - | 0 | 1 | - | Unknown |
| COX & Readey, Ltd. CRD: 8601 | - | 0 | 0 | A | INACTIVE |
| COX Advisors, LLC CRD: 174431 | - | 0 | 2 | - | Unknown |
| COX Capital General Partner, L.L.C. CRD: 316237 | - | 0 | 1 | - | Unknown |
| COX Capital Management CRD: 154897 | - | 0 | 0 | - | Unknown |
| COX Capital Management LLC CRD: 117593 | - | 0 | 1 | - | Unknown |
| COX Capital, LLC CRD: 282105 | - | 0 | 0 | - | Unknown |
| COX Financial Group, Ltd. CRD: 123955 | - | 0 | 1 | - | Unknown |
| COX Financial Services, LLC CRD: 151773 | - | 0 | 0 | - | Unknown |
| COX Global Associates Inc CRD: 107368 | - | 0 | 0 | - | Unknown |
| COX Planning Services PLLC CRD: 145358 | - | 0 | 0 | - | Unknown |
| COX Securities, Inc. CRD: 8355 | - | 0 | 0 | A | INACTIVE |
| COX Wealth Management, LLC CRD: 118181 | - | 0 | 0 | - | Unknown |
| COX Wealth Management, LLC CRD: 155223 | - | 0 | 0 | - | Unknown |
| Coxe Advisors LLC CRD: 149231 | - | 0 | 0 | - | Unknown |
| COY Capital Management CRD: 154993 | - | 0 | 1 | - | Unknown |
| Coyle CRD: 110593 | - | 0 | 6 | - | Unknown |
| Coyle Capital, LLC CRD: 173822 | - | 0 | 4 | - | Unknown |
| Coyle Securities, L.L.C. CRD: 43804 | - | 0 | 0 | A | INACTIVE |
| Coyle, Michael David CRD: 34031 | - | 0 | 0 | A | INACTIVE |
| Coyn Systems, LLC CRD: 297843 | - | 0 | 0 | - | Unknown |
| Coyne Capital Management (Fundwatcher) CRD: 136405 | - | 0 | 0 | - | Unknown |
| Coyne Capital Management, LLC CRD: 152814 | - | 0 | 1 | - | Unknown |
| Coyne Trading, LLC CRD: 47277 | - | 1 | 0 | B | INACTIVE |