Broker-Dealer Firms
20 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 |
|---|---|---|---|---|---|
| AE Financial Services, LLC CRD: 298608 | KS | 0 | 14 | A | Active |
| Cabin Securities, Inc. CRD: 137608 | KS | 1 | 10 | B | Active |
| Cboe Trading, Inc. CRD: 136734 | KS | 1 | 2 | B | Active |
| CC Capital Advisors LLC CRD: 338420 | KS | 0 | 1 | A | Active |
| Central States Capital Markets, LLC CRD: 155291 | KS | 6 | 6 | B | Active |
| Copper Financial CRD: 168203 | KS | 0 | 55 | A | Active |
| Creativeone Securities, LLC CRD: 152974 | KS | 1 | 148 | B | Active |
| CU Investment Solutions LLC CRD: 43753 | KS | 1 | 14 | B | Active |
| FAS Corp. CRD: 43536 | KS | 0 | 4 | A | Active |
| First Asset Financial Inc. CRD: 139107 | KS | 1 | 3 | B | Active |
| Great American Investors, Inc. CRD: 28489 | KS | 4 | 6 | B | Active |
| Lockton Investment Securities, LLC CRD: 137476 | KS | 0 | 4 | A | Active |
| Lodas Securities, LLC CRD: 313056 | KS | 1 | 4 | B | Active |
| Matrix 360 Distributors, LLC CRD: 159715 | KS | 0 | 2 | A | Active |
| Msec, LLC CRD: 154327 | KS | 1 | 26 | B | Active |
| OFG Financial Services, Inc. CRD: 23940 | KS | 2 | 24 | B | Active |
| Onedigital Securities LLC CRD: 327279 | KS | 0 | 2 | A | Active |
| Riedl First Securities Company of Kansas CRD: 30812 | KS | 4 | 2 | B | Active |
| Security Distributors CRD: 3336 | KS | 5 | 5 | B | Active |
| Tandem Securities, Inc. CRD: 140546 | KS | 3 | 4 | B | Active |