Colorado
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| ISAAK BOND INVESTMENTS, INC. | 8 | 1 | F | Active |
| GVC CAPITAL LLC | 4 | 1 | F | Active |
| QUADRIGA SECURITIES, LLC | 4 | 1 | F | Active |
| W.G. NIELSEN & CO. | 1 | 1 | F | Active |
| ATTIS SECURITIES | 0 | 1 | A | Active |
| D-MERC SERVICES | 0 | 1 | A | Active |
| HUDSONWEST LLC | 0 | 1 | A | Active |
| JW & CO. | 0 | 1 | A | Active |
| KCR CAPITAL, LLC | 0 | 1 | A | Active |
| PRESIDIO MERCHANT PARTNERS LLC | 0 | 1 | A | Active |
| Q ADVISORS LLC | 0 | 1 | A | Active |
| RFS PARTNERS | 0 | 1 | A | Active |
| WEILD & CO. | 0 | 1 | A | Active |
Inside Colorado's Broker-Dealer Landscape
Colorado is home to 13 broker-dealer firms in FINRA's public register, of which 13 (100.0%) are currently marked ACTIVE. Those firms employ 13 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 17 disclosures on BrokerCheck, averaging 1.3 per firm. Grade distribution across Colorado's broker-dealers: 9 graded A, 0 graded B, 0 graded C, 0 graded D, and 4 graded F. That means 69.2% of graded firms hold an A and 30.8% fall into the D or F bands.
Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations — large multistate firms headquartered in Colorado will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Colorado advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
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