Broker-Dealer Firms
56 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.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Acquiom Financial LLC CRD: 170074 | CO | 0 | 2 | A | Active |
| Advisors Asset Management, Inc. CRD: 46727 | CO | 6 | 79 | B | Active |
| Alpina Capital, LLC CRD: 145794 | CO | 0 | 2 | A | Active |
| Alps Distributors, Inc. CRD: 16853 | CO | 4 | 36 | B | Active |
| Alps Portfolio Solutions Distributor, Inc. CRD: 144464 | CO | 0 | 2 | A | Active |
| Ares Management Capital Markets LLC CRD: 166219 | CO | 0 | 14 | A | Active |
| Attis Securities CRD: 330249 | CO | 0 | 2 | A | Active |
| Baserock Capital, LLC CRD: 328592 | CO | 0 | 3 | A | Active |
| Bear Creek Securities LLC CRD: 139941 | CO | 0 | 2 | A | Active |
| Britehorn Securities CRD: 36402 | CO | 3 | 8 | B | Active |
| Cascade Investment Group, Inc. CRD: 35844 | CO | 2 | 3 | B | Active |
| Cetera Advisors LLC CRD: 10299 | CO | 23 | 918 | B | Active |
| CHA Financial Advisors CRD: 46726 | CO | 0 | 2 | A | Active |
| Christian Financial Services LLC CRD: 15357 | CO | 0 | 2 | A | Active |
| Class VI Securities, LLC CRD: 148772 | CO | 0 | 2 | A | Active |
| Clearcreek Securities, LLC CRD: 169774 | CO | 0 | 3 | A | Active |
| Colorado Financial Service Corporation CRD: 104343 | CO | 3 | 23 | B | Active |
| D-Merc Services CRD: 292310 | CO | 0 | 2 | A | Active |
| Efcg Transaction Services LLC CRD: 333770 | CO | 0 | 2 | A | Active |
| Empower Financial Services, Inc. CRD: 13109 | CO | 6 | 113 | B | Active |
| FCA Capital Markets LLC CRD: 322688 | CO | 0 | 2 | A | Active |
| First Hill Securities, LLC CRD: 166445 | CO | 0 | 3 | A | Active |
| FMI Capital Advisors, Inc. CRD: 129262 | CO | 2 | 4 | B | Active |
| Geneos Wealth Management, Inc. CRD: 120894 | CO | 6 | 165 | B | Active |
| Gill Capital Partners, LLC CRD: 14559 | CO | 3 | 5 | B | Active |
| GVC Capital LLC CRD: 38923 | CO | 4 | 2 | B | Active |
| Harvestons Securities, Inc. CRD: 34509 | CO | 1 | 2 | B | Active |
| Hudsonwest LLC CRD: 304884 | CO | 0 | 2 | A | Active |
| Integris Securities, LLC CRD: 30061 | CO | 0 | 2 | A | Active |
| Isaak Bond Investments, Inc. CRD: 7413 | CO | 8 | 3 | C | Active |
| Janus Henderson Distributors US LLC CRD: 28832 | CO | 0 | 4 | A | Active |
| JW & Co. CRD: 326627 | CO | 0 | 2 | A | Active |
| KCR Capital, LLC CRD: 298516 | CO | 0 | 2 | A | Active |
| Larimer Capital Corporation CRD: 18189 | CO | 1 | 4 | B | Active |
| Macarthur Strategic Capital, LLC CRD: 315178 | CO | 0 | 2 | A | Active |
| Mainline West Municipal Securities LLC CRD: 148020 | CO | 0 | 2 | A | Active |
| Paralel Distributors CRD: 316115 | CO | 0 | 11 | A | Active |
| Parsonex Securities, Inc. CRD: 144412 | CO | 0 | 6 | A | Active |
| Pine Distributors LLC CRD: 323408 | CO | 0 | 13 | A | Active |
| Plexus Energy Capital, LLC CRD: 138263 | CO | 0 | 2 | A | Active |
| Presidio Merchant Partners LLC CRD: 46473 | CO | 0 | 3 | A | Active |
| Q Advisors LLC CRD: 127232 | CO | 0 | 2 | A | Active |
| Quadriga Securities, LLC CRD: 153861 | CO | 4 | 2 | B | Active |
| Reynolds Advisory Partners,LLC CRD: 147603 | CO | 0 | 2 | A | Active |
| RFS Partners CRD: 18119 | CO | 0 | 5 | A | Active |
| Sage Canyon Advisors, LLC CRD: 139688 | CO | 0 | 2 | A | Active |
| Saints Advisors LLC CRD: 117126 | CO | 0 | 2 | A | Active |
| SDR Capital Markets, LLC CRD: 170652 | CO | 0 | 2 | A | Active |
| Sovereign Global Advisors LLC CRD: 167663 | CO | 0 | 6 | A | Active |
| Stonepine Advisors, LLC CRD: 154217 | CO | 0 | 2 | A | Active |
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