Broker-Dealer Firms
111 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 |
|---|---|---|---|---|---|
| 1851 Securities, Inc CRD: 153006 | CT | 0 | 2 | A | Active |
| A.G.P. / Alliance Global Partners CRD: 8361 | CT | 21 | 45 | C | Active |
| Access Securities, LLC CRD: 22455 | CT | 3 | 3 | B | Active |
| Alder Securities LLC CRD: 326041 | CT | 0 | 2 | A | Active |
| Alderman & Company Capital, LLC CRD: 136492 | CT | 0 | 2 | A | Active |
| Aldwych Securities LLC CRD: 167980 | CT | 4 | 2 | B | Active |
| AMA Securities LLC CRD: 45988 | CT | 0 | 2 | A | Active |
| AMG Distributors, Inc. CRD: 27314 | CT | 2 | 6 | B | Active |
| AQR Investments, LLC CRD: 289244 | CT | 0 | 6 | A | Active |
| ASL Capital Markets Inc. CRD: 286115 | CT | 0 | 3 | A | Active |
| Babcock & Brown Securities LLC CRD: 169440 | CT | 0 | 3 | A | Active |
| BCP Securities, Inc. CRD: 27063 | CT | 2 | 3 | B | Active |
| BCW Securities LLC CRD: 144930 | CT | 0 | 2 | A | Active |
| Bestex Research Securities, LLC CRD: 309569 | CT | 0 | 2 | A | Active |
| Bethel Landing Securities LLC CRD: 318565 | CT | 0 | 2 | A | Active |
| Bethesda Securities, LLC CRD: 281179 | CT | 0 | 3 | A | Active |
| Bitooda Technologies LLC CRD: 297644 | CT | 0 | 2 | A | Active |
| Boomerang Capital LLC CRD: 120313 | CT | 0 | 3 | A | Active |
| Buckler Securities LLC CRD: 284576 | CT | 0 | 3 | A | Active |
| Buell Securities Corp. CRD: 1342 | CT | 6 | 2 | C | Active |
| C&C Trading L.L.C. CRD: 39302 | CT | 5 | 2 | C | Active |
| Carter Capital Corporation CRD: 23521 | CT | 0 | 2 | A | Active |
| CC Securities, LLC CRD: 153523 | CT | 0 | 3 | A | Active |
| CFS Securities, Inc. CRD: 46201 | CT | 0 | 2 | A | Active |
| Cicada Securities CRD: 314109 | CT | 0 | 2 | A | Active |
| Cigna Benefits Financing, Inc. CRD: 153670 | CT | 0 | 2 | A | Active |
| Commonfund Securities, Inc. CRD: 43541 | CT | 0 | 5 | A | Active |
| Conning Investment Products, Inc. CRD: 120387 | CT | 0 | 8 | A | Active |
| Cook Pine Securities LLC CRD: 152365 | CT | 0 | 2 | A | Active |
| Crito Capital LLC CRD: 161724 | CT | 0 | 5 | A | Active |
| Dowling & Partners Securities LLC CRD: 24746 | CT | 0 | 6 | A | Active |
| DWM Finance LLC CRD: 137513 | CT | 0 | 2 | A | Active |
| Eagle Point Securities LLC CRD: 324528 | CT | 0 | 3 | A | Active |
| Equity Hill Capital, LLC CRD: 338330 | CT | 0 | 2 | A | Active |
| Equus Financial Consulting LLC CRD: 131449 | CT | 0 | 3 | A | Active |
| ERG Securities (US) LLC CRD: 121057 | CT | 0 | 2 | A | Active |
| Fairview Securities, Inc. CRD: 35703 | CT | 1 | 2 | B | Active |
| FMG Distributors, Inc. CRD: 29243 | CT | 2 | 2 | B | Active |
| GE Vernova Capital Markets, LLC CRD: 329164 | CT | 0 | 3 | A | Active |
| Global Atlantic Distributors, LLC CRD: 8326 | CT | 2 | 9 | C | Active |
| GP Nurmenkari Inc. CRD: 153480 | CT | 0 | 2 | A | Active |
| GPP Securities, LLC CRD: 285223 | CT | 0 | 2 | A | Active |
| GQR Securities LLC CRD: 300998 | CT | 0 | 2 | A | Active |
| Gray OAK Capital, LLC CRD: 290056 | CT | 0 | 2 | A | Active |
| Grayscale Securities, LLC CRD: 305907 | CT | 0 | 5 | A | Active |
| Greenwich Capital Partners, LLC CRD: 305693 | CT | 0 | 2 | A | Active |
| Harley Capital LLC CRD: 310046 | CT | 0 | 2 | A | Active |
| Hedgebay Securities LLC CRD: 121136 | CT | 0 | 2 | A | Active |
| HEG Securities, LLC CRD: 330096 | CT | 0 | 2 | A | Active |
| Herbert J. Sims & Co, Inc. CRD: 3420 | CT | 10 | 13 | B | Active |
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