State BrokerCheck inventory · July 2026

Colorado broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Colorado ranks #12 of 56 by registered-firm inventory (56) and #22 of 56 by aggregate disclosure load (85), then #29 of 33 on disclosures-per-firm and #11 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#12
of 56 by firm inventory
56
registered firms
85
disclosures on file
1.5
avg disclosures / firm

Colorado at a glance

According to FINRA BrokerCheck as of July 2026, Colorado ranks #12 of 56 by registered-firm inventory (56) and #22 of 56 by aggregate disclosure load (85), then #29 of 33 on disclosures-per-firm and #11 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#12 of 56
registered-firm inventory
#22 of 56
aggregate disclosure load
#29 of 33
disclosures per firm (≥10 firms)
#11 of 33
Grade-A share (≥10 firms)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Where Colorado sits by disclosures per firm

COUNT-derived placement among 33 states and territories with at least 10 graded firms. Lower intensity is cleaner for residents; large multistate HQs can lift a state's average without describing every local office.

Colorado vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

2 a lower disclosures-per-firm load than 12% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). This entry sits in this band. 2–4: 9 floor-qualified states (27%). Above this entry. 4–6: 8 floor-qualified states (24%). Above this entry. 6–8: 1 floor-qualified states (3%). Above this entry. 8–10: 1 floor-qualified states (3%). Above this entry. 10–12: 0 floor-qualified states (0%). Above this entry. 12–14: 2 floor-qualified states (6%). Above this entry. 14–16: 0 floor-qualified states (0%). Above this entry. 16–18: 0 floor-qualified states (0%). Above this entry. 18–20: 1 floor-qualified states (3%). Above this entry. 20–22: 0 floor-qualified states (0%). Above this entry. 22–24: 0 floor-qualified states (0%). Above this entry. 24–26: 0 floor-qualified states (0%). Above this entry. 26–28: 0 floor-qualified states (0%). Above this entry. 28–30: 0 floor-qualified states (0%). Above this entry. 30–32: 0 floor-qualified states (0%). Above this entry. 32–34: 0 floor-qualified states (0%). Above this entry. 34–36: 1 floor-qualified states (3%). Above this entry. Colorado 0 36 every state with ≥10 graded firms, bucketed by value

Each bar is a band; taller bars hold more floor-qualified states. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · July 2026

Firm-size mix among 56 graded firms

FINRA BrokerCheck size classes in Colorado. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

56
Registered Firms
37
Clean Record (Grade A)
85
Total Disclosures
1.5
Avg Disclosures / Firm

Grade Distribution

How Colorado's 56 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (37)37 firmsB, low (17)17 firmsC, typical (2)2 firmsD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 56 graded firms headquartered in Colorado

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 Cetera Advisors LLC Greenwood Village 23 918 B
2 Isaak Bond Investments, Inc. Lakewood 8 3 C
3 Advisors Asset Management, Inc. Monument 6 79 B
4 Empower Financial Services, Inc. Greenwood Village 6 113 B
5 Geneos Wealth Management, Inc. Englewood 6 165 B
6 Alps Distributors, Inc. Denver 4 36 B
7 GVC Capital LLC Centennial 4 2 B
8 Quadriga Securities, LLC Denver 4 2 B
9 Transamerica Capital, LLC Denver 4 4 C
10 Britehorn Securities Denver 3 8 B
11 Colorado Financial Service Corporation Centennial 3 23 B
12 Gill Capital Partners, LLC Denver 3 5 B
13 World Capital Brokerage, Inc. Denver 3 13 B
14 Cascade Investment Group, Inc. Colorado Springs 2 3 B
15 FMI Capital Advisors, Inc. Denver 2 4 B
16 Harvestons Securities, Inc. Greenwood Village 1 2 B
17 Larimer Capital Corporation Denver 1 4 B
18 Vistia Capital, LLC Lone Tree 1 2 B
19 W.G. Nielsen & Co. Denver 1 2 B
20 Acquiom Financial LLC Denver 0 2 A
21 Alpina Capital, LLC Denver 0 2 A
22 Alps Portfolio Solutions Distributor, Inc. Denver 0 2 A
23 Ares Management Capital Markets LLC Denver 0 14 A
24 Attis Securities Denver 0 2 A
25 Baserock Capital, LLC Denver 0 3 A
26 Bear Creek Securities LLC Denver 0 2 A
27 CHA Financial Advisors Denver 0 2 A
28 Christian Financial Services LLC Cedaredge 0 2 A
29 Class VI Securities, LLC Denver 0 2 A
30 Clearcreek Securities, LLC Denver 0 3 A
31 D-Merc Services Lakewood 0 2 A
32 Efcg Transaction Services LLC Denver 0 2 A
33 FCA Capital Markets LLC Denver 0 2 A
34 First Hill Securities, LLC Centennial 0 3 A
35 Hudsonwest LLC Denver 0 2 A
36 Integris Securities, LLC Greenwood Village 0 2 A
37 Janus Henderson Distributors US LLC Denver 0 4 A
38 JW & Co. Greenwood Village 0 2 A
39 KCR Capital, LLC Lakewood 0 2 A
40 Macarthur Strategic Capital, LLC Denver 0 2 A
41 Mainline West Municipal Securities LLC Denver 0 2 A
42 Paralel Distributors Denver 0 11 A
43 Parsonex Securities, Inc. Englewood 0 6 A
44 Pine Distributors LLC Denver 0 13 A
45 Plexus Energy Capital, LLC Littleton 0 2 A
46 Presidio Merchant Partners LLC Denver 0 3 A
47 Q Advisors LLC Denver 0 2 A
48 Reynolds Advisory Partners,LLC Denver 0 2 A
49 RFS Partners Denver 0 5 A
50 Sage Canyon Advisors, LLC Boulder 0 2 A

Lower disclosures per firm

Colorado in the denser-inventory third

Colorado ranks #29 of 33 on disclosures-per-firm (1.5) - cooler third among ≥10-firm states.

Colorado sits in the denser third by registered-firm inventory (#12 of 56, 56 firms) as of July 2026. Grade-A share is 66.1% (37 of 56 graded) - cleaner third among floor-qualified states; D/F share is 0.0%. Largest disclosure count in-state: Cetera Advisors LLC (23 events, Grade B).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - large multistate HQs in Colorado can lift statewide totals without describing every local office. This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does Colorado sit among states by BrokerCheck disclosure load?
According to FINRA BrokerCheck as of July 2026, Colorado ranks #12 of 56 by registered-firm inventory (56) and #22 of 56 by aggregate disclosure load (85), then #29 of 33 on disclosures-per-firm and #11 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Aggregate disclosure load is not a judgment of the state's regulators or of any individual firm.
How many broker-dealer firms are registered in Colorado?
Colorado registers 56 BrokerCheck firms (#12 denser-third inventory). 37 (66.1%) hold a clean Grade-A record.
Which Colorado broker-dealer has the most FINRA disclosures?
Cetera Advisors LLC leads Colorado's listing with 23 BrokerCheck disclosures across 918 offices (Grade B). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Colorado's safety grades?
On Colorado's lighter-load board, grades stay size-normalized (weighted disclosures ÷ branch footprint within size class). Zero-disclosure firms earn A. Editorial signals only - not FINRA ratings; see methodology.
Is this official Colorado broker data?
Yes. Colorado's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.
All Colorado Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for Colorado. Colorado ranks #12 by firm inventory and #22 by disclosure load in the PlainAdvisorCheck extract as of July 2026.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.