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.

Compiled by PlainAdvisorCheck

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

Colorado at a glance

#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

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.

Large 2 firms (4%) Medium 6 firms (11%) Small 48 firms (86%)

Registered Firms

Clean Record (Grade A)

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.

Grade breakdown of 56 graded firms headquartered in Colorado

Firms by Disclosure Count

#	Firm	Disclosures	Offices	Grade
1	Cetera Advisors LLCGreenwood 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 LLCCentennial	4	2	B
8	Quadriga Securities, LLCDenver	4	2	B
9	Transamerica Capital, LLCDenver	4	4	C
10	Britehorn SecuritiesDenver	3	8	B
11	Colorado Financial Service CorporationCentennial	3	23	B
12	Gill Capital Partners, LLCDenver	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 CorporationDenver	1	4	B
18	Vistia Capital, LLCLone Tree	1	2	B
19	W.G. Nielsen & Co.Denver	1	2	B
20	Acquiom Financial LLCDenver	0	2	A
21	Alpina Capital, LLCDenver	0	2	A
22	Alps Portfolio Solutions Distributor, Inc.Denver	0	2	A
23	Ares Management Capital Markets LLCDenver	0	14	A
24	Attis SecuritiesDenver	0	2	A
25	Baserock Capital, LLCDenver	0	3	A
26	Bear Creek Securities LLCDenver	0	2	A
27	CHA Financial AdvisorsDenver	0	2	A
28	Christian Financial Services LLCCedaredge	0	2	A
29	Class VI Securities, LLCDenver	0	2	A
30	Clearcreek Securities, LLCDenver	0	3	A
31	D-Merc ServicesLakewood	0	2	A
32	Efcg Transaction Services LLCDenver	0	2	A
33	FCA Capital Markets LLCDenver	0	2	A
34	First Hill Securities, LLCCentennial	0	3	A
35	Hudsonwest LLCDenver	0	2	A
36	Integris Securities, LLCGreenwood Village	0	2	A
37	Janus Henderson Distributors US LLCDenver	0	4	A
38	JW & Co.Greenwood Village	0	2	A
39	KCR Capital, LLCLakewood	0	2	A
40	Macarthur Strategic Capital, LLCDenver	0	2	A
41	Mainline West Municipal Securities LLCDenver	0	2	A
42	Paralel DistributorsDenver	0	11	A
43	Parsonex Securities, Inc.Englewood	0	6	A
44	Pine Distributors LLCDenver	0	13	A
45	Plexus Energy Capital, LLCLittleton	0	2	A
46	Presidio Merchant Partners LLCDenver	0	3	A
47	Q Advisors LLCDenver	0	2	A
48	Reynolds Advisory Partners,LLCDenver	0	2	A
49	RFS PartnersDenver	0	5	A
50	Sage Canyon Advisors, LLCBoulder	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?

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.

Compiled by PlainAdvisorCheck, Independent data publisher