Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Carl Marks Securities LLC CRD: 144209 | NY | 0 | 3 | A | Active |
| Castle Hill Capital Partners, Inc. CRD: 44131 | NY | 0 | 2 | A | Active |
| Castle Placement, LLC CRD: 189511 | NY | 0 | 13 | A | Active |
| Cathay Securities, Inc. CRD: 21821 | NY | 0 | 2 | A | Active |
| Centerview Partners LLC CRD: 133796 | NY | 0 | 4 | A | Active |
| Cevidica Securities Group LLC CRD: 104422 | NY | 0 | 2 | A | Active |
| CF Secured, LLC CRD: 285841 | NY | 1 | 7 | B | Active |
| CG Compass (USA) LLC CRD: 129837 | NY | 1 | 3 | B | Active |
| CGS International Securities USA, Inc. CRD: 141892 | NY | 0 | 2 | A | Active |
| Chaince Securities, LLC CRD: 10590 | NY | 0 | 1 | A | Active |
| Chardan Capital Markets LLC CRD: 120128 | NY | 14 | 4 | C | Active |
| Chatham Financial Securities LLC CRD: 118818 | NY | 0 | 2 | A | Active |
| Chelsea Financial Services CRD: 47770 | NY | 4 | 32 | B | Active |
| Chimera Securities, LLC CRD: 147566 | NY | 7 | 2 | D | Active |
| Churchill Capital USA, Inc. CRD: 143278 | NY | 0 | 5 | A | Active |
| Cibc World Markets Corp. CRD: 630 | NY | 162 | 6 | F | Active |
| CIC Market Solutions, Inc. CRD: 47069 | NY | 0 | 2 | A | Active |
| Cicc US Securities, Inc. CRD: 143221 | NY | 1 | 2 | B | Active |
| Cimas, LLC CRD: 132263 | NY | 0 | 3 | A | Active |
| Cion Securities, LLC CRD: 15487 | NY | 3 | 3 | B | Active |
| Citic Securities International USA, LLC CRD: 158266 | NY | 0 | 2 | A | Active |
| Citicorp Securities Services, Inc. CRD: 15387 | NY | 2 | 2 | B | Active |
| Citigroup Global Markets Inc. CRD: 7059 | NY | 1233 | 2,867 | C | Active |
| CJS Securities, Inc. CRD: 44823 | NY | 1 | 2 | B | Active |
| Clarksons Securities, Inc CRD: 30882 | NY | 0 | 3 | A | Active |
| Clear Street LLC CRD: 288933 | NY | 3 | 9 | C | Active |
| Clearingbid Markets, Inc. CRD: 269999 | NY | 0 | 1 | A | Active |
| Clearlist LLC CRD: 308066 | NY | 0 | 2 | A | Active |
| Clearpool Execution Services, LLC CRD: 168490 | NY | 19 | 4 | C | Active |
| Clsa Americas, LLC CRD: 165533 | NY | 0 | 4 | A | Active |
| CNR Securities, LLC CRD: 18466 | NY | 4 | 9 | B | Active |
| Coady Diemar Partners, LLC CRD: 128334 | NY | 1 | 2 | B | Active |
| Cohen & Company Securities, LLC CRD: 149758 | NY | 6 | 8 | B | Active |
| Cohen & Steers Securities, LLC CRD: 29258 | NY | 0 | 2 | A | Active |
| Coinbase Capital Markets Corp CRD: 10722 | NY | 0 | 2 | A | Active |
| Coinshares Capital LLC CRD: 170506 | NY | 0 | 2 | A | Active |
| Collectable Securities CRD: 315939 | NY | 0 | 1 | A | Active |
| Colonial Securities, Inc. CRD: 3013 | NY | 11 | 2 | D | Active |
| Commerce ONE Financial Inc. CRD: 100340 | NY | 4 | 2 | B | Active |
| Commerz Markets LLC CRD: 41957 | NY | 9 | 2 | C | Active |
| Consello Financial LLC CRD: 326524 | NY | 0 | 2 | A | Active |
| Corinthian Partners, L.L.C. CRD: 38912 | NY | 4 | 3 | B | Active |
| Corporate Partners & Co. LLC CRD: 168356 | NY | 0 | 2 | A | Active |
| Corsair Advisors LLC CRD: 164469 | NY | 0 | 2 | A | Active |
| Cova Capital Partners LLC CRD: 109761 | NY | 2 | 2 | B | Active |
| Coview Capital, Inc. CRD: 35842 | NY | 2 | 2 | B | Active |
| CP Client Solutions LLC CRD: 330402 | NY | 0 | 8 | A | Active |
| CR Global Markets Inc. CRD: 166318 | NY | 0 | 1 | A | Active |
| Craft Capital Management LLC CRD: 171350 | NY | 0 | 6 | A | Active |
| CRC-IB CRD: 158736 | NY | 0 | 5 | A | Active |