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 |
|---|---|---|---|---|---|
| CARYA MANAGEMENT, LLC CRD: 334933 | — | 0 | 0 | A | Unknown |
| CASCADE ADVISORY GROUP INC CRD: 167015 | — | 0 | 0 | A | Unknown |
| CASCADE FUND CRD: 14324 | — | 0 | 0 | A | INACTIVE |
| CASCADE WEALTH LLC CRD: 322216 | — | 0 | 0 | A | Unknown |
| CASCADIA CAPITAL, LLC CRD: 101020 | WA | 1 | 1 | F | Active |
| CASDIN CAPITAL, LLC CRD: 169579 | — | 0 | 0 | A | Unknown |
| CASEY CAPITAL, LLC CRD: 160680 | — | 0 | 0 | A | Unknown |
| CASEY THOMAS CLARK CRD: 107459 | — | 0 | 0 | A | Unknown |
| CASH FLOW FUND 2 MANAGER, LLC CRD: 337642 | — | 0 | 0 | A | Unknown |
| CASHCO CAPITAL CORPORATION CRD: 10049 | — | 1 | 0 | F | INACTIVE |
| CASHEN ADVISORY SERVICES, LLC CRD: 159415 | — | 0 | 0 | A | Unknown |
| CASHTRADE.COM, INC. CRD: 47870 | — | 0 | 0 | A | INACTIVE |
| CASI INVESTMENTS CRD: 116063 | — | 0 | 0 | A | Unknown |
| CASIMIR CAPITAL L.P. CRD: 105061 | — | 7 | 0 | F | INACTIVE |
| CASORO CAPITAL, LLC CRD: 192516 | — | 0 | 0 | A | Unknown |
| CASPIAN CAPITAL, LP CRD: 155751 | — | 0 | 0 | A | Unknown |
| CASSADAY & CO INC CRD: 106566 | — | 0 | 0 | A | Unknown |
| CASSADAY & COMPANY, INC. CRD: 317672 | — | 0 | 0 | A | Unknown |
| CASSAVA CAPITAL CRD: 283345 | — | 0 | 0 | A | Unknown |
| CASSIDY & CO., INC. CRD: 30070 | — | 0 | 0 | A | INACTIVE |
| CASSIDY, JONES & CO., INC. CRD: 35494 | — | 0 | 0 | A | INACTIVE |
| CASSIDY, KENNETH ROSS CRD: 113857 | — | 0 | 0 | A | Unknown |
| CASSILLY FINANCIAL CRD: 300672 | — | 0 | 0 | A | Unknown |
| CAST FINANCIAL CRD: 289302 | — | 0 | 0 | A | Unknown |
| CASTEL MANAGEMENT, LLC CRD: 325243 | — | 0 | 0 | A | Unknown |
| CASTIK CAPITAL SARL CRD: 309487 | — | 0 | 0 | A | Unknown |
| CASTLE CREEK CAPITAL CRD: 158079 | — | 0 | 0 | A | Unknown |
| CASTLE FINANCIAL CRD: 338962 | — | 0 | 0 | A | Unknown |
| CASTLE HARLAN, INC. CRD: 158106 | — | 0 | 0 | A | Unknown |
| CASTLE HILL CAPITAL CRD: 285817 | — | 0 | 0 | A | Unknown |
| CASTLE SECURITIES CORP. CRD: 16077 | — | 19 | 0 | F | INACTIVE |
| CASTLEBURY ADVISORY CRD: 151658 | — | 0 | 0 | A | Unknown |
| CASTLEVIEW ADVISORY CRD: 281688 | — | 0 | 0 | A | Unknown |
| CASTOCK CORP. CRD: 11138 | — | 0 | 0 | A | INACTIVE |
| CATALANO FINANCIAL CRD: 298405 | — | 0 | 0 | A | Unknown |
| CATALDO FRANK CARL CRD: 33861 | — | 0 | 0 | A | INACTIVE |
| CATANIA, NEIL MICHAEL CRD: 131133 | — | 0 | 0 | A | INACTIVE |
| CATCH POINT RIGHTS PARTNERS LP CRD: 310136 | — | 0 | 0 | A | Unknown |
| CATCHMENT CAPITAL, L.P. CRD: 335631 | — | 0 | 0 | A | Unknown |
| CATES FP, CATES TAX ADVISORY CRD: 290650 | — | 0 | 0 | A | Unknown |
| CATEY, INC. CRD: 316011 | — | 0 | 0 | A | Unknown |
| CATHAY CAPITAL NA, LLC CRD: 268816 | — | 0 | 0 | A | Unknown |
| CATHY A. WAGNER, CFP, RIA CRD: 141583 | — | 0 | 0 | A | Unknown |
| CATO CAPITAL, LLC CRD: 133142 | — | 0 | 0 | A | INACTIVE |
| CATSGAME CAPITAL LLC CRD: 309608 | — | 0 | 0 | A | Unknown |
| CATUM ADVISORY GROUP, LLC. CRD: 277148 | — | 0 | 0 | A | Unknown |
| CAUSEY WEALTH LLC CRD: 331134 | — | 0 | 0 | A | Unknown |
| CAVALIER ADVISORY & INSURANCE CRD: 286690 | — | 0 | 0 | A | Unknown |
| CAVALOT CAPITAL CRD: 312088 | — | 0 | 0 | A | Unknown |
| CAVE, INC. CRD: 126171 | — | 0 | 0 | A | Unknown |