Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| CABRERA, ENIER J CRD: 167902 | — | 0 | 0 | A | Unknown |
| CABRILLO BROKER, L.L.C CRD: 142185 | — | 0 | 0 | A | INACTIVE |
| CABURN MANAGEMENT LP CRD: 167401 | — | 0 | 0 | A | Unknown |
| CAC CAPITAL CORP CRD: 15396 | — | 3 | 0 | F | INACTIVE |
| CACHE MANAGEMENT LLC CRD: 307396 | — | 0 | 0 | A | Unknown |
| CACM CRD: 298587 | — | 0 | 0 | A | Unknown |
| CACTUS CAPITAL, LLC CRD: 295235 | — | 0 | 0 | A | Unknown |
| CADALYST, LLC CRD: 283068 | — | 0 | 0 | A | Unknown |
| CADARET, GRANT & CO., INC. CRD: 16404 | — | 0 | 0 | A | INACTIVE |
| CADARET, GRANT & CO., INC. CRD: 10641 | — | 21 | 0 | F | INACTIVE |
| CADE GROUP, INC. CRD: 114970 | — | 0 | 0 | A | Unknown |
| CADEX CAPITAL, LP CRD: 281272 | — | 0 | 0 | A | Unknown |
| CADINHA & CO LLC CRD: 108135 | — | 0 | 0 | A | Unknown |
| CADMAN CAPITAL LTD CRD: 161719 | — | 0 | 0 | A | Unknown |
| CADZ SECURITIES INC CRD: 326039 | FL | 0 | 1 | A | Active |
| CAE INVESTMENT ADVISORY, LLC CRD: 334890 | — | 0 | 0 | A | Unknown |
| CAERUS TRADING, L.L.C. CRD: 296768 | — | 0 | 0 | A | INACTIVE |
| CAF INVESTMENTS LLC CRD: 313629 | — | 0 | 0 | A | Unknown |
| CAFFREY CERESA & CO. SECURITIES, INC. CRD: 17837 | — | 0 | 0 | A | INACTIVE |
| CAG RESOURCES, INC. CRD: 18419 | — | 0 | 0 | A | INACTIVE |
| CAGLE FINANCIAL ADVISORY, LLC CRD: 125284 | — | 0 | 0 | A | Unknown |
| CAGR ADVISORY LLC CRD: 338323 | — | 0 | 0 | A | Unknown |
| CAHABA CAPITAL CRD: 286264 | — | 0 | 0 | A | Unknown |
| CAHN CAPITAL CORP. CRD: 34843 | — | 0 | 0 | A | INACTIVE |
| CAHN ERNST I CRD: 11278 | — | 0 | 0 | A | INACTIVE |
| CAI PRIVATE EQUITY CRD: 161415 | — | 0 | 0 | A | Unknown |
| CAIM LLC CRD: 144946 | — | 0 | 0 | A | Unknown |
| CAIRD INVESTMENTS CRD: 334504 | — | 0 | 0 | A | Unknown |
| CAIRN FINANCIAL GROUP CRD: 299889 | — | 0 | 0 | A | Unknown |
| CAIRN INVESTMENT GROUP CRD: 143601 | — | 0 | 0 | A | Unknown |
| CAIRN LOAN INVESTMENTS CRD: 283408 | — | 0 | 0 | A | Unknown |
| CAIRNS & COMPANY CRD: 22521 | — | 0 | 0 | A | INACTIVE |
| CAIS CAPITAL LLC CRD: 154512 | NY | 0 | 1 | A | Active |
| CAISHEN FINANCIAL CRD: 326936 | — | 0 | 0 | A | Unknown |
| CAISSA CAPITAL, LP. CRD: 119123 | — | 0 | 0 | A | INACTIVE |
| CAITLIN JOHN, LLC CRD: 154494 | — | 0 | 0 | A | Unknown |
| CAIUS CAPITAL LLP CRD: 285187 | — | 0 | 0 | A | Unknown |
| CAIUS CAPITAL US LP CRD: 322911 | — | 0 | 0 | A | Unknown |
| CAL CAULFIELD AND COMPANY, INC. CRD: 7527 | — | 0 | 0 | A | INACTIVE |
| CAL FED INVESTMENTS CRD: 19631 | — | 2 | 0 | F | INACTIVE |
| CAL FP (US), INC. CRD: 37412 | — | 0 | 0 | A | INACTIVE |
| CAL SECURITIES, INC. CRD: 16829 | — | 0 | 0 | A | INACTIVE |
| CAL STATE SECURITIES CORP. CRD: 13781 | — | 0 | 0 | A | INACTIVE |
| CALADO CAPITAL CRD: 324440 | — | 0 | 0 | A | Unknown |
| CALAFIA GROUP CRD: 332936 | — | 0 | 0 | A | Unknown |
| CALAMOS AKSIA ADVISORS LLC CRD: 322773 | — | 0 | 0 | A | Unknown |
| CALCULATED WEALTH CRD: 318985 | — | 0 | 0 | A | Unknown |
| CALDERA CAPITAL, LLC CRD: 277113 | — | 0 | 0 | A | Unknown |
| CALDWELL & ORKIN INC CRD: 105366 | — | 0 | 0 | A | Unknown |
| CALDWELL ADVISORS, LLC CRD: 144408 | — | 0 | 0 | A | Unknown |