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 |
|---|---|---|---|---|---|
| CAPUCHIN CAPITAL CRD: 335634 | — | 0 | 0 | A | Unknown |
| CAPULA INVESTMENT US LP CRD: 157589 | — | 0 | 0 | A | Unknown |
| CAPULENT LLC CRD: 155155 | AZ | 0 | 1 | A | Active |
| CAPVEST PARTNERS LLP CRD: 161967 | — | 0 | 0 | A | Unknown |
| CAPVEST PARTNERS, INC. CRD: 324459 | — | 0 | 0 | A | Unknown |
| CARAVEL MANAGEMENT LLC CRD: 140701 | — | 0 | 0 | A | Unknown |
| CARAVEL MANAGEMENT LLC CRD: 319163 | — | 0 | 0 | A | Unknown |
| CARBIDE VENTURES CRD: 319214 | — | 0 | 0 | A | Unknown |
| CARBYNE CAPITAL, LLC CRD: 340997 | — | 0 | 0 | A | Unknown |
| CARDEN CAPITAL LLC CRD: 149182 | — | 0 | 0 | A | Unknown |
| CARDINAL CAPITAL MANAGEMENT, L.L.C. CRD: 109824 | — | 0 | 0 | A | Unknown |
| CARDINAL FINANCIAL CRD: 169011 | — | 0 | 0 | A | Unknown |
| CARDINAL INVESTMENTS, INC. CRD: 36838 | IL | 1 | 1 | F | Active |
| CARDINAL SIGN ADVISORY, LLC CRD: 315633 | — | 0 | 0 | A | Unknown |
| CARDINAL WEALTH ADVISORY, LLC CRD: 136659 | — | 0 | 0 | A | Unknown |
| CARE CAPITAL, LLC CRD: 159669 | — | 0 | 0 | A | Unknown |
| CARE CORPORATION CRD: 14594 | — | 0 | 0 | A | INACTIVE |
| CAREW CARSWELL CO. CRD: 126294 | — | 0 | 0 | A | Unknown |
| CAREY FINANCIAL, LLC CRD: 15246 | — | 3 | 0 | F | INACTIVE |
| CAREYES CORPORATION CRD: 24355 | — | 0 | 0 | A | INACTIVE |
| CARIBOU ENERGY CAPITAL CORPORATION CRD: 15272 | — | 0 | 0 | A | INACTIVE |
| CARILLON INVESTMENTS, INC. CRD: 14646 | — | 1 | 0 | F | INACTIVE |
| CARIS & COMPANY, INC. CRD: 104235 | — | 1 | 0 | F | INACTIVE |
| CARL DOMINO INC. CRD: 131528 | — | 0 | 0 | A | Unknown |
| CARL GLICK COMPANY CRD: 7803 | — | 0 | 0 | A | INACTIVE |
| CARL H. PFORZHEIMER & CO. CRD: 3024 | — | 4 | 0 | F | INACTIVE |
| CARL M. HENNIG, INC. CRD: 140 | WI | 3 | 1 | F | Active |
| CARL MARKS & CO., INC. CRD: 2666 | — | 0 | 0 | A | INACTIVE |
| CARL MARKS & CO., INC. CRD: 25555 | — | 0 | 0 | A | INACTIVE |
| CARL P. SHERR & CO., LLC CRD: 3394 | — | 2 | 0 | F | INACTIVE |
| CARLA VOSS GENELLY CRD: 132849 | — | 0 | 0 | A | Unknown |
| CARLETON D. BEH CO. CRD: 7090 | — | 0 | 0 | A | INACTIVE |
| CARLINO, LEO F CRD: 47978 | — | 0 | 0 | A | INACTIVE |
| CARLISLE MANAGEMENT COMPANY S.C.A. CRD: 286131 | — | 0 | 0 | A | Unknown |
| CARLISLE TAX CREDIT ADVISORS CRD: 151461 | — | 0 | 0 | A | Unknown |
| CARLO CAPITAL CRD: 331801 | — | 0 | 0 | A | Unknown |
| CARLSON CAPITAL, L.P. CRD: 118156 | — | 0 | 0 | A | Unknown |
| CARLSON FINANCIAL CRD: 295907 | — | 0 | 0 | A | Unknown |
| CARLSON INVESTMENTS CRD: 105729 | — | 0 | 0 | A | Unknown |
| CARLSON WEALTH, LLC CRD: 318362 | — | 0 | 0 | A | Unknown |
| CARLTON CAPITAL INC. CRD: 42533 | — | 4 | 0 | F | INACTIVE |
| CARLTON LANE CAPITAL CRD: 339148 | — | 0 | 0 | A | Unknown |
| CARLYLE & CHRISTIE CAPITAL INC. CRD: 14810 | — | 0 | 0 | A | INACTIVE |
| CARLYLE COMMODITY MANAGEMENT L.L.C. CRD: 145243 | — | 0 | 0 | A | Unknown |
| CARMAN, DAVID CRD: 32629 | — | 1 | 0 | F | INACTIVE |
| CARMEL CAPITAL MANAGEMENT L.L.C. CRD: 120675 | — | 0 | 0 | A | Unknown |
| CARMEL PARTNERS CRD: 160892 | — | 0 | 0 | A | Unknown |
| CARMEN & CO., INC. CRD: 1401 | — | 0 | 0 | A | INACTIVE |
| CARMICHAEL SECURITIES COMPANY L.L.C. CRD: 47297 | — | 1 | 0 | F | INACTIVE |
| CARMIKA PARTNERS LLP CRD: 284418 | — | 0 | 0 | A | Unknown |