Connecticut

Broker-dealer firm disciplinary records from FINRA BrokerCheck

50
Total Firms
50
Active Firms
50
Total Advisors
64
Total Disclosures

Grade Distribution

A
39
firms
B
0
firms
C
0
firms
D
0
firms
F
11
firms

Firms by Disclosure Count

Firm Disclosures Advisors Grade Status
A.G.P. / ALLIANCE GLOBAL PARTNERS 21 1 F Active
HERBERT J. SIMS & CO, INC. 10 1 F Active
OSAIC INSTITUTIONS, INC. 9 1 F Active
BUELL SECURITIES CORP. 6 1 F Active
C&C TRADING L.L.C. 5 1 F Active
SEARLE & CO. 4 1 F Active
INTERACTIVE BROKERS CORP. 3 1 F Active
M.M. DILLON & CO. LLC 2 1 F Active
STOCK SECURITIES LLC 2 1 F Active
BCP SECURITIES, INC. 1 1 F Active
P. A. N. SECURITIES, LP 1 1 F Active
1851 SECURITIES, INC 0 1 A Active
AMA SECURITIES LLC 0 1 A Active
AQR INVESTMENTS, LLC 0 1 A Active
BABCOCK & BROWN SECURITIES LLC 0 1 A Active
BCW SECURITIES LLC 0 1 A Active
CARTER CAPITAL CORPORATION 0 1 A Active
CC SECURITIES, LLC 0 1 A Active
CFS SECURITIES, INC. 0 1 A Active
CICADA SECURITIES 0 1 A Active
CRITO CAPITAL LLC 0 1 A Active
DWM FINANCE LLC 0 1 A Active
ERG SECURITIES (US) LLC 0 1 A Active
GP NURMENKARI INC. 0 1 A Active
GPP SECURITIES, LLC 0 1 A Active
GQR SECURITIES LLC 0 1 A Active
GRAY OAK CAPITAL, LLC 0 1 A Active
HARLEY CAPITAL LLC 0 1 A Active
HEG SECURITIES, LLC 0 1 A Active
ICR CAPITAL LLC 0 1 A Active
INTELLIGENT CROSS LLC 0 1 A Active
KELSON CAPITAL LLC 0 1 A Active
MCSA SECURITIES LLC 0 1 A Active
NEAR EARTH, LLC 0 1 A Active
OASIS PRO MARKETS LLC 0 1 A Active
OPTIMX SECURITIES LLC 0 1 A Active
REALTYX, LLC 0 1 A Active
SAYBRUS EQUITY SERVICES, LLC 0 1 A Active
SKYWORKS SECURITIES, LLC 0 1 A Active
STARWOOD CAPITAL, L.L.C. 0 1 A Active
STONE KEY SECURITIES LLC 0 1 A Active
TNCP, LLC 0 1 A Active
UBS FUND SERVICES (USA) LLC 0 1 A Active
UMERGENCE LLC 0 1 A Active
USI SECURITIES, INC. 0 1 A Active
VISTINA ADVISORY LLC 0 1 A Active
W G SECURITIES, LLC 0 1 A Active
WESTBURY GROUP LLC 0 1 A Active
XT CAPITAL PARTNERS, LLC 0 1 A Active
ZENITH SECURITIES LLC 0 1 A Active

Inside Connecticut's Broker-Dealer Landscape

Connecticut is home to 50 broker-dealer firms in FINRA's public register, of which 50 (100.0%) are currently marked ACTIVE. Those firms employ 50 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.

The state's aggregate disciplinary footprint totals 64 disclosures on BrokerCheck, averaging 1.3 per firm. Grade distribution across Connecticut's broker-dealers: 39 graded A, 0 graded B, 0 graded C, 0 graded D, and 11 graded F. That means 78.0% of graded firms hold an A and 22.0% 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 Connecticut 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 Connecticut advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

All Connecticut Firms → All States →

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

Related

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial