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 |
|---|---|---|---|---|---|
| Credit Agricole Securities (USA) Inc. CRD: 190 | NY | 18 | 6 | D | Active |
| Crescendo Markets LLC CRD: 298072 | NY | 0 | 2 | A | Active |
| Cross Point Capital LLC CRD: 136223 | NY | 1 | 5 | B | Active |
| Crowdstreet Capital LLC CRD: 312762 | NY | 0 | 3 | A | Active |
| Crux Capital Securities, LLC CRD: 336464 | NY | 0 | 2 | A | Active |
| CS Enhanced Lending LLC CRD: 331620 | NY | 0 | 1 | A | Active |
| Csca Capital Advisors, LLC CRD: 47100 | NY | 0 | 2 | A | Active |
| CTL Securities LLC CRD: 147369 | NY | 1 | 2 | B | Active |
| Current Capital Securities LLC CRD: 288891 | NY | 0 | 2 | A | Active |
| CVC Funding, LLC CRD: 277056 | NY | 0 | 3 | A | Active |
| Cypress Associates CRD: 130252 | NY | 0 | 2 | A | Active |
| D. Boral Capital CRD: 103792 | NY | 2 | 3 | B | Active |
| D.E. Shaw Securities, L.L.C. CRD: 24332 | NY | 5 | 3 | B | Active |
| D/B/a Palazzo CRD: 156378 | NY | 0 | 2 | A | Active |
| Dabbah Securities Corp. CRD: 26576 | NY | 3 | 2 | B | Active |
| Daiwa Capital Markets America Inc. CRD: 1576 | NY | 30 | 29 | D | Active |
| Dalmore Group LLC CRD: 136352 | NY | 2 | 13 | B | Active |
| Danske Markets Inc. CRD: 113404 | NY | 0 | 2 | A | Active |
| Dasta Financial, LLC CRD: 316477 | NY | 0 | 2 | A | Active |
| David Lerner Associates, Inc. CRD: 5397 | NY | 42 | 9 | C | Active |
| Davis Securities LLC CRD: 138829 | NY | 0 | 2 | A | Active |
| DBS Vickers Securities (USA) Inc. CRD: 35691 | NY | 1 | 2 | B | Active |
| DC Advisory CRD: 129919 | NY | 0 | 5 | A | Active |
| Dealmaker Securities CRD: 315324 | NY | 0 | 2 | A | Active |
| Deer Isle Capital, LLC CRD: 146269 | NY | 0 | 5 | A | Active |
| Delphos MMJ L.P. CRD: 137389 | NY | 1 | 2 | B | Active |
| Delphx Services Corporation CRD: 141368 | NY | 0 | 2 | A | Active |
| Dematteo Research LLC CRD: 43741 | NY | 3 | 2 | B | Active |
| Deutsche Bank Securities Inc. CRD: 2525 | NY | 307 | 9 | F | Active |
| Development Corporation for Israel CRD: 11148 | NY | 3 | 19 | B | Active |
| Dinari Securities, LLC CRD: 329672 | NY | 0 | 3 | A | Active |
| Dinosaur Financial Group, L.L.C CRD: 104446 | NY | 7 | 17 | B | Active |
| Disruptive Securities CRD: 299155 | NY | 0 | 4 | A | Active |
| DNB Carnegie, Inc. CRD: 127605 | NY | 0 | 2 | A | Active |
| Doft & Co., Inc. CRD: 1660 | NY | 4 | 2 | B | Active |
| Dominari Securities LLC CRD: 18975 | NY | 5 | 5 | B | Active |
| Drexel Hamilton, LLC CRD: 143570 | NY | 3 | 4 | B | Active |
| Drivewealth, LLC CRD: 165429 | NY | 1 | 3 | B | Active |
| Dsil Investment Services LLC CRD: 30149 | NY | 0 | 2 | A | Active |
| Ducera Securities LLC CRD: 269984 | NY | 0 | 5 | A | Active |
| Dynamex Trading, LLC CRD: 127434 | NY | 1 | 2 | B | Active |
| DZ Financial Markets LLC CRD: 47098 | NY | 0 | 3 | A | Active |
| E&J Securities Corp. CRD: 37452 | NY | 0 | 1 | A | Active |
| E.F. Hutton & Co. LLC CRD: 322687 | NY | 0 | 3 | A | Active |
| Earlybirdcapital, Inc. CRD: 28629 | NY | 4 | 5 | B | Active |
| East Wind Securities, LLC CRD: 148032 | NY | 0 | 2 | A | Active |
| Eastgate Securities, LLC CRD: 146671 | NY | 2 | 1 | B | Active |
| Eddid Securities USA Inc. CRD: 299423 | NY | 0 | 2 | A | Active |
| Eden Global Capital Partners LLC CRD: 313169 | NY | 0 | 2 | A | Active |
| Edgemont Capital Partners, L.P. CRD: 122572 | NY | 2 | 2 | B | Active |