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.

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

Connecticut at a glance

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.

#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

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). This entry sits in this band. 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. Connecticut 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 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.

111
Registered Firms
76
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.

A, clean (76)76 firmsB, low (24)24 firmsC, typical (8)8 firmsD, elevated (1)1 firmF, heaviest (2)2 firms
Grade breakdown of 111 graded firms headquartered in Connecticut

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 Interactive Brokers LLC Greenwich 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 LLC Greenwich 42 2 F
5 Vision Financial Markets LLC Stamford 34 7 C
6 A.G.P. / Alliance Global Partners Westport 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, LLC Windsor 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 LLC Stamford 4 2 B
13 Searle & Co. Greenwich 4 8 B
14 Vision Brokerage Services, LLC Stamford 4 2 B
15 Access Securities, LLC New Canaan 3 3 B
16 Interactive Brokers Corp. Greenwich 3 8 B
17 Prudential Annuities Distributors, Inc Shelton 3 24 C
18 Tourmaline Partners, LLC Stamford 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, LLC Hartford 2 9 C
23 M.M. Dillon & Co. LLC Greenwich 2 1 B
24 Stock Securities LLC Stamford 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, LP Norwalk 1 2 B
29 Pentegra Distributors Inc. Shelton 1 2 B
30 Sami Brokerage LLC Stamford 1 3 B
31 Third Seven Capital LLC Greenwich 1 4 B
32 Voya Investments Distributor, LLC Windsor 1 11 B
33 VP Distributors, LLC Hartford 1 11 B
34 Westminster Research Associates LLC Stamford 1 3 B
35 Williams Trading LLC Westport 1 2 B
36 1851 Securities, Inc Hartford 0 2 A
37 Alder Securities LLC Greenwich 0 2 A
38 Alderman & Company Capital, LLC Danbury 0 2 A
39 AMA Securities LLC Stamford 0 2 A
40 AQR Investments, LLC Greenwich 0 6 A
41 ASL Capital Markets Inc. Stamford 0 3 A
42 Babcock & Brown Securities LLC Cos Cob 0 3 A
43 BCW Securities LLC Westport 0 2 A
44 Bestex Research Securities, LLC Stamford 0 2 A
45 Bethel Landing Securities LLC Easton 0 2 A
46 Bethesda Securities, LLC Westport 0 3 A
47 Bitooda Technologies LLC Greenwich 0 2 A
48 Boomerang Capital LLC Rowayton 0 3 A
49 Buckler Securities LLC Greenwich 0 3 A
50 Carter Capital Corporation Southport 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.

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.