State BrokerCheck inventory · July 2026

Connecticut broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Connecticut ranks #7 of 56 by registered-firm inventory (111) and #10 of 56 by aggregate disclosure load (392), then #15 of 33 on disclosures-per-firm and #6 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

#7
of 56 by firm inventory: 111
registered firms: 392
disclosures on file: 3.5
avg disclosures / firm

Connecticut at a glance

#7 of 56
registered-firm inventory: #10 of 56
aggregate disclosure load: #15 of 33
disclosures per firm (≥10 firms): #6 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 Connecticut 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.

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

Size-normalized disclosure intensity · FINRA BrokerCheck extract

4 a lower disclosures-per-firm load than 55% 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 111 graded firms

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

Large 4 firms (4%) Medium 6 firms (5%) Small 101 firms (91%)

111

Registered Firms

Clean Record (Grade A)

392

Total Disclosures

3.5

Avg Disclosures / Firm

Grade Distribution

How Connecticut's 111 graded broker-dealers split across the size-normalized A-F safety scale.

Grade breakdown of 111 graded firms headquartered in Connecticut

Firms by Disclosure Count

#	Firm	Disclosures	Offices	Grade
1	Interactive Brokers LLCGreenwich	118	17	F
2	Natwest Markets Securities Inc.Stamford	47	7	D
3	Voya Financial Advisors, Inc.Windsor	45	449	C
4	Ibkr Securities Services LLCGreenwich	42	2	F
5	Vision Financial Markets LLCStamford	34	7	C
6	A.G.P. / Alliance Global PartnersWestport	21	45	C
7	Herbert J. Sims & Co, Inc.Fairfield	10	13	B
8	Osaic Institutions, Inc.Meriden	9	997	B
9	Voya Financial Partners, LLCWindsor	7	29	C
10	Buell Securities Corp.Glastonbury	6	2	C
11	C&C Trading L.L.C.Greenwich	5	2	C
12	Aldwych Securities LLCStamford	4	2	B
13	Searle & Co.Greenwich	4	8	B
14	Vision Brokerage Services, LLCStamford	4	2	B
15	Access Securities, LLCNew Canaan	3	3	B
16	Interactive Brokers Corp.Greenwich	3	8	B
17	Prudential Annuities Distributors, IncShelton	3	24	C
18	Tourmaline Partners, LLCStamford	3	2	B
19	AMG Distributors, Inc.Stamford	2	6	B
20	BCP Securities, Inc.Greenwich	2	3	B
21	FMG Distributors, Inc.New Canaan	2	2	B
22	Global Atlantic Distributors, LLCHartford	2	9	C
23	M.M. Dillon & Co. LLCGreenwich	2	1	B
24	Stock Securities LLCStamford	2	3	B
25	Talcott Resolution Distribution Company, Inc.Hartford	2	4	B
26	Fairview Securities, Inc.Westport	1	2	B
27	J.M Lummis Securities, Inc.New Canaan	1	2	B
28	P. a. N. Securities, LPNorwalk	1	2	B
29	Pentegra Distributors Inc.Shelton	1	2	B
30	Sami Brokerage LLCStamford	1	3	B
31	Third Seven Capital LLCGreenwich	1	4	B
32	Voya Investments Distributor, LLCWindsor	1	11	B
33	VP Distributors, LLCHartford	1	11	B
34	Westminster Research Associates LLCStamford	1	3	B
35	Williams Trading LLCWestport	1	2	B
36	1851 Securities, IncHartford	0	2	A
37	Alder Securities LLCGreenwich	0	2	A
38	Alderman & Company Capital, LLCDanbury	0	2	A
39	AMA Securities LLCStamford	0	2	A
40	AQR Investments, LLCGreenwich	0	6	A
41	ASL Capital Markets Inc.Stamford	0	3	A
42	Babcock & Brown Securities LLCCos Cob	0	3	A
43	BCW Securities LLCWestport	0	2	A
44	Bestex Research Securities, LLCStamford	0	2	A
45	Bethel Landing Securities LLCEaston	0	2	A
46	Bethesda Securities, LLCWestport	0	3	A
47	Bitooda Technologies LLCGreenwich	0	2	A
48	Boomerang Capital LLCRowayton	0	3	A
49	Buckler Securities LLCGreenwich	0	3	A
50	Carter Capital CorporationSouthport	0	2	A

Dense registered-firm inventory

Connecticut in the denser-inventory third

Connecticut ranks #7 of 56 by BrokerCheck firm count (111 firms) - denser third of the board.

Connecticut sits in the denser third by registered-firm inventory (#7 of 56, 111 firms) as of July 2026. Grade-A share is 68.5% (76 of 111 graded) - cleaner third among floor-qualified states; D/F share is 2.7%. Heaviest raw book in-state: Interactive Brokers LLC (118 disclosures across 17 offices).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - large multistate HQs in Connecticut 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 Connecticut sit among states by BrokerCheck disclosure load?

Connecticut is in the heavier third by aggregate disclosure load (#10 of 56, 392 events) while inventory ranks #7 of 56. Aggregate load is not a judgment of regulators or any firm.

How many broker-dealer firms are registered in Connecticut?

Connecticut registers 111 BrokerCheck firms (#7 denser-third inventory). 76 (68.5%) hold a clean Grade-A record.

Which Connecticut broker-dealer has the most FINRA disclosures?

Interactive Brokers LLC leads Connecticut's listing with 118 BrokerCheck disclosures across 17 offices (Grade F). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.

How should I read Connecticut's safety grades?

On Connecticut's heavier-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 Connecticut broker data?

Yes. Connecticut'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 Connecticut 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 Connecticut. Connecticut ranks #7 by firm inventory and #10 by disclosure load in the PlainAdvisorCheck extract as of July 2026.

Compiled by PlainAdvisorCheck, Independent data publisher