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 |
|---|---|---|---|---|---|
| CAPE ANN CAPITAL, INC. CRD: 128942 | — | 0 | 0 | A | Unknown |
| CAPE ANN FINANCIAL CRD: 131088 | — | 0 | 0 | A | Unknown |
| CAPE CAPITAL AG CRD: 324701 | — | 0 | 0 | A | Unknown |
| CAPE INTERNATIONAL, INC. CRD: 10782 | — | 0 | 0 | A | INACTIVE |
| CAPE INVESTMENT ADVISORY, INC. CRD: 146384 | — | 0 | 0 | A | Unknown |
| CAPE SECURITIES INC. CRD: 7072 | GA | 3 | 1 | F | Active |
| CAPEVIEW CAPITAL LLP CRD: 160092 | — | 0 | 0 | A | Unknown |
| CAPFI PARTNERS LLC CRD: 113795 | — | 3 | 0 | F | INACTIVE |
| CAPFLOW GROUP INC. CRD: 337653 | — | 0 | 0 | A | Unknown |
| CAPIS CRD: 7551 | TX | 9 | 1 | F | Active |
| CAPITA3 MANAGEMENT LLC CRD: 299399 | — | 0 | 0 | A | Unknown |
| CAPITAL ADVISORY GROUP CRD: 147192 | — | 0 | 0 | A | Unknown |
| CAPITAL ADVISORY GROUP LLC CRD: 287747 | — | 0 | 0 | A | Unknown |
| CAPITAL ADVISORY GROUP, INC. CRD: 114539 | — | 0 | 0 | A | Unknown |
| CAPITAL ALLOCATION MANAGEMENT, INC CRD: 129216 | — | 0 | 0 | A | Unknown |
| CAPITAL ASSET ADVISORS, INC. CRD: 19607 | — | 1 | 0 | F | INACTIVE |
| CAPITAL ASSET ADVISORY, INC. CRD: 125685 | — | 0 | 0 | A | Unknown |
| CAPITAL ASSETS CRD: 108215 | — | 0 | 0 | A | Unknown |
| CAPITAL B, LLC CRD: 337233 | — | 0 | 0 | A | Unknown |
| CAPITAL CITIES, LLC CRD: 122916 | — | 0 | 0 | A | Unknown |
| CAPITAL CONCEPTS INVESTMENT CORP. CRD: 7115 | — | 1 | 0 | F | INACTIVE |
| CAPITAL CONNECT, LLC CRD: 329399 | FL | 0 | 1 | A | Active |
| CAPITAL COORDINATORS COMPANY CRD: 113068 | — | 0 | 0 | A | Unknown |
| CAPITAL COUNSEL LLC CRD: 109001 | — | 0 | 0 | A | Unknown |
| CAPITAL CS GROUP, LLC CRD: 304523 | — | 0 | 0 | A | Unknown |
| CAPITAL DESIGN LTD. CRD: 22132 | — | 0 | 0 | A | INACTIVE |
| CAPITAL DESIGNS CRD: 125617 | — | 0 | 0 | A | Unknown |
| CAPITAL DYNAMICS CRD: 126931 | — | 0 | 0 | A | Unknown |
| CAPITAL DYNAMICS BROKER DEALER LLC CRD: 148780 | NY | 0 | 1 | A | Active |
| CAPITAL ERH LLC CRD: 288218 | — | 0 | 0 | A | Unknown |
| CAPITAL EXPRESS CORP. CRD: 8410 | — | 0 | 0 | A | INACTIVE |
| CAPITAL FACTORY CRD: 192514 | — | 0 | 0 | A | Unknown |
| CAPITAL FINANCIAL ADVISORS OF NEW YORK, LLC CRD: 125689 | — | 0 | 0 | A | Unknown |
| CAPITAL FOR ISRAEL, INC. CRD: 11135 | — | 0 | 0 | A | INACTIVE |
| CAPITAL FOUR AIFM A/S CRD: 305862 | — | 0 | 0 | A | Unknown |
| CAPITAL FOUR US INC. CRD: 315650 | — | 0 | 0 | A | Unknown |
| CAPITAL GROUP, INC. CRD: 10783 | — | 0 | 0 | A | INACTIVE |
| CAPITAL HILL GROUP, INC. CRD: 10323 | TX | 3 | 1 | F | Active |
| CAPITAL IDEAS CRD: 114352 | — | 0 | 0 | A | Unknown |
| CAPITAL IDEAS, INC. CRD: 15235 | — | 0 | 0 | A | INACTIVE |
| CAPITAL INVESTMENTS INTERNATIONAL INC. CRD: 37643 | — | 0 | 0 | A | INACTIVE |
| CAPITAL INVESTMENTS, INC. CRD: 11269 | — | 0 | 0 | A | INACTIVE |
| CAPITAL K CRD: 330562 | — | 0 | 0 | A | Unknown |
| CAPITAL M GROUP, LLC CRD: 170617 | — | 0 | 0 | A | Unknown |
| CAPITAL MANAGEMENT INTERNATIONAL CRD: 27511 | — | 0 | 0 | A | INACTIVE |
| CAPITAL MANAGEMENT, INC CRD: 32308 | — | 0 | 0 | A | INACTIVE |
| CAPITAL MAX, INC. CRD: 137539 | — | 0 | 0 | A | Unknown |
| CAPITAL NORTH LTD CRD: 283251 | — | 0 | 0 | A | Unknown |
| CAPITAL ONE INVESTING, INC. CRD: 285084 | — | 0 | 0 | A | Unknown |
| CAPITAL OPTIONS, INC. CRD: 309840 | — | 0 | 0 | A | Unknown |