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 |
|---|---|---|---|---|---|
| CAPITAL POINT ADVISORS, L.P. CRD: 160777 | — | 0 | 0 | A | Unknown |
| CAPITAL PRIVÉ SUISSE S.A. CRD: 159909 | — | 0 | 0 | A | Unknown |
| CAPITAL Q MANAGEMENT LLC CRD: 305337 | — | 0 | 0 | A | Unknown |
| CAPITAL QUEST SECURITIES, INC. CRD: 10786 | — | 0 | 0 | A | INACTIVE |
| CAPITAL RISK CRD: 300480 | — | 0 | 0 | A | Unknown |
| CAPITAL RUN LLC CRD: 126127 | — | 0 | 0 | A | INACTIVE |
| CAPITAL S, LLC CRD: 317871 | — | 0 | 0 | A | Unknown |
| CAPITAL TODAY CHINA CRD: 163408 | — | 0 | 0 | A | Unknown |
| CAPITAL UNITED, LLC CRD: 285616 | — | 0 | 0 | A | Unknown |
| CAPITAL V GROUP LLC CRD: 297266 | — | 0 | 0 | A | Unknown |
| CAPITAL WEALTH INVESTMENTS CRD: 311698 | — | 0 | 0 | A | Unknown |
| CAPITAL WEALTH, LLC CRD: 289574 | — | 0 | 0 | A | Unknown |
| CAPITAL WISE ADVISORY CRD: 329915 | — | 0 | 0 | A | Unknown |
| CAPITAL Y MANAGEMENT LLC CRD: 317297 | — | 0 | 0 | A | Unknown |
| CAPITAL Z ASSET MANAGEMENT, LLC CRD: 162210 | — | 0 | 0 | A | Unknown |
| CAPITAL Z INVESTMENT PARTNERS (HONG KONG) LIMITED CRD: 159847 | — | 0 | 0 | A | Unknown |
| CAPITAL Z PARTNERS MANAGEMENT, LLC CRD: 157048 | — | 0 | 0 | A | Unknown |
| CAPITAL Z SECURITIES, LLC CRD: 124195 | — | 0 | 0 | A | INACTIVE |
| CAPITAL, INC. CRD: 14993 | — | 0 | 0 | A | INACTIVE |
| CAPITAL-E-ADVISORS CRD: 297820 | — | 0 | 0 | A | Unknown |
| CAPITALIZE CRD: 327225 | — | 0 | 0 | A | Unknown |
| CAPITALIZE VC, LLC CRD: 321133 | — | 0 | 0 | A | Unknown |
| CAPITALSPRING CRD: 161372 | — | 0 | 0 | A | Unknown |
| CAPITALWE CRD: 309398 | — | 0 | 0 | A | Unknown |
| CAPITALX CRD: 310537 | — | 0 | 0 | A | Unknown |
| CAPITALYST, L.L.C CRD: 104009 | — | 0 | 0 | A | INACTIVE |
| CAPITECT, INC. CRD: 285965 | — | 0 | 0 | A | Unknown |
| CAPITOL PARTNERS, L.LC. CRD: 161867 | — | 0 | 0 | A | Unknown |
| CAPITOL PEAK PARTNERS, INC. CRD: 300020 | — | 0 | 0 | A | Unknown |
| CAPLAN, JASON LEE CRD: 114962 | — | 0 | 0 | A | INACTIVE |
| CAPLINGER MANAGEMENT CRD: 107967 | — | 0 | 0 | A | Unknown |
| CAPLO ADVISORY LLC CRD: 312295 | — | 0 | 0 | A | Unknown |
| CAPPELLO CAPITAL CORP. CRD: 30124 | — | 0 | 0 | A | INACTIVE |
| CAPRI EGM, LLC CRD: 304389 | — | 0 | 0 | A | Unknown |
| CAPRO CAPITAL CRD: 173686 | — | 0 | 0 | A | INACTIVE |
| CAPSQUARE ASIA PARTNERS PTE. LTD. CRD: 325912 | — | 0 | 0 | A | Unknown |
| CAPSTACK PARTNERS CRD: 289091 | — | 0 | 0 | A | Unknown |
| CAPSTAN LLC CRD: 111937 | — | 0 | 0 | A | Unknown |
| CAPSTAR PARTNERS, LLC CRD: 29000 | — | 0 | 0 | A | INACTIVE |
| CAPSTONE ADVISORY GROUP LLC CRD: 153443 | — | 0 | 0 | A | Unknown |
| CAPSTONE FINANCIAL CRD: 291312 | — | 0 | 0 | A | Unknown |
| CAPSTONE INVESTMENTS CRD: 41400 | — | 5 | 0 | F | INACTIVE |
| CAPSTONE PARTNERS CRD: 132185 | MA | 1 | 1 | F | Active |
| CAPSTONE PARTNERS, L.C. CRD: 35784 | — | 1 | 0 | F | INACTIVE |
| CAPSTONE RIA CRD: 334343 | — | 0 | 0 | A | Unknown |
| CAPSTONE TRADING L.L.C. CRD: 131785 | — | 2 | 0 | F | INACTIVE |
| CAPSTONE WEALTH CRD: 130128 | — | 0 | 0 | A | Unknown |
| CAPSTONE, LLC CRD: 174403 | — | 0 | 0 | A | Unknown |
| CAPTION MANAGEMENT, LLC CRD: 173841 | — | 0 | 0 | A | Unknown |
| CAPTRUST CRD: 175112 | — | 0 | 0 | A | Unknown |