Broker-Dealer Firms
55 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 |
|---|---|---|---|---|---|
| Allspring Funds Distributor, LLC CRD: 133366 | NC | 1 | 24 | B | Active |
| Ally Invest Securities LLC CRD: 136131 | NC | 3 | 7 | C | Active |
| Anderson Leneave & Co. CRD: 104101 | NC | 0 | 1 | A | Active |
| B&D Capital Partners, LLC CRD: 314406 | NC | 0 | 2 | A | Active |
| Barings Securities LLC CRD: 36929 | NC | 0 | 3 | A | Active |
| Barnabas Capital, LLC CRD: 297890 | NC | 0 | 2 | A | Active |
| Bourne Partners Securities, LLC CRD: 131107 | NC | 0 | 2 | A | Active |
| Brighthouse Securities, LLC CRD: 285300 | NC | 0 | 10 | A | Active |
| Bundy Group Securities, LLC CRD: 311375 | NC | 0 | 3 | A | Active |
| Capfinancial Securities, LLC. CRD: 126291 | NC | 1 | 35 | B | Active |
| Capital Investment Brokerage, Inc. CRD: 40657 | NC | 1 | 10 | B | Active |
| Capital Investment Group, Inc. CRD: 14752 | NC | 10 | 82 | B | Active |
| Capital Management of the Carolinas, LLC CRD: 110643 | NC | 0 | 2 | A | Active |
| Capitala Securities, LLC CRD: 304095 | NC | 0 | 3 | A | Active |
| Carofin, LLC CRD: 298717 | NC | 0 | 2 | A | Active |
| Cleansource Securities CRD: 323456 | NC | 0 | 2 | A | Active |
| Elevation, LLC CRD: 140341 | NC | 7 | 5 | B | Active |
| Envoy Securities CRD: 327493 | NC | 0 | 2 | A | Active |
| Equitable Distributors, LLC CRD: 25900 | NC | 1 | 8 | B | Active |
| Equity Shift, Inc. CRD: 309841 | NC | 0 | 2 | A | Active |
| Falcon Square Capital, LLC CRD: 165225 | NC | 0 | 3 | A | Active |
| Fennebresque & Co., LLC CRD: 146857 | NC | 0 | 2 | A | Active |
| Fidus Securities, LLC CRD: 132882 | NC | 0 | 3 | A | Active |
| First Ballantyne, LLC CRD: 125393 | NC | 1 | 2 | B | Active |
| First Citizens Investor Services, Inc. CRD: 44430 | NC | 6 | 307 | B | Active |
| First Tryon Securities, LLC CRD: 7336 | NC | 1 | 3 | B | Active |
| Folla Capital, LLC CRD: 305140 | NC | 0 | 2 | A | Active |
| Fortress Private Ledger, LLC CRD: 290298 | NC | 0 | 15 | A | Active |
| Hatteras Capital Distributors, LLC CRD: 143365 | NC | 0 | 2 | A | Active |
| Hedgeserv Investment Services LLC CRD: 154725 | NC | 0 | 2 | A | Active |
| Innovation Partners LLC CRD: 146344 | NC | 1 | 41 | B | Active |
| Intercarolina Financial Services, Inc. CRD: 19475 | NC | 3 | 21 | B | Active |
| JBS Liberty Securities, Inc. CRD: 36179 | NC | 2 | 3 | B | Active |
| Liberty Partners Financial Services, LLC CRD: 130390 | NC | 9 | 8 | B | Active |
| Linden Thomas and Company Securities, LLC CRD: 290244 | NC | 0 | 2 | A | Active |
| Mcduffie/Morris Financial Group, Inc. CRD: 39654 | NC | 1 | 2 | B | Active |
| Milestone Investments, Inc. CRD: 47090 | NC | 0 | 3 | A | Active |
| Millennium Advisors, LLC CRD: 151236 | NC | 1 | 2 | B | Active |
| Modern Capital Securities Inc. CRD: 130876 | NC | 1 | 6 | B | Active |
| North Inlet Advisors, LLC CRD: 154297 | NC | 0 | 2 | A | Active |
| Optsecurities, LLC CRD: 47529 | NC | 0 | 2 | A | Active |
| Philpott Ball & Werner, LLC CRD: 156364 | NC | 0 | 3 | A | Active |
| Place Trade Financial, Inc. CRD: 126867 | NC | 1 | 3 | B | Active |
| RF M&A Services LLC CRD: 154250 | NC | 0 | 3 | A | Active |
| Secu Brokerage Services CRD: 19899 | NC | 7 | 280 | B | Active |
| Sherman & Company LLC CRD: 155575 | NC | 0 | 3 | A | Active |
| South Atlantic Enterprises, Inc. CRD: 42790 | NC | 0 | 2 | A | Active |
| Southeast Investments, N.C., Inc. CRD: 43035 | NC | 6 | 23 | B | Active |
| Sovereign Legacy Securities, Inc. CRD: 1783 | NC | 1 | 2 | B | Active |
| Supreme Alliance LLC CRD: 45348 | NC | 6 | 20 | B | Active |
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