Connecticut

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

Connecticut at a glance

As of July 2026, Connecticut registers 111 broker-dealer firms on FINRA BrokerCheck - 76 carry a clean record and 392 disclosures are on file statewide.

111
registered firms
76
with a clean record (Grade A)
392
total disclosures statewide
3.5
disclosures per firm (avg)
111
Registered Firms
76
Clean Record (Grade A)
392
Total Disclosures
3.5
Avg Disclosures / Firm

How Connecticut ranks

A state's raw firm count and its disciplinary clean-record rate measure two different things, and they do not always move together. A jurisdiction can host a large number of broker-dealer firms simply because it is a major financial hub, while a smaller state with far fewer registered firms can post a cleaner disciplinary record in relative terms, or vice versa. Comparing both rankings side by side, rather than looking at either figure in isolation, gives a fuller picture of what is actually happening on the ground in a given state.

By firm count, Connecticut is #7 of 56 states and territories. By clean-record rate (Grade A share, among the 33 states with at least 10 registered firms, a floor that keeps a state with only a handful of firms from swinging to an extreme rate on a tiny sample), it ranks #6 of 33. The two ranks are broadly in line with each other, this state's disciplinary profile scales with its firm population about as expected, neither notably better nor worse than its size would suggest.

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

Inside Connecticut's Broker-Dealer Landscape

Connecticut has 111 actively registered broker-dealer firms in FINRA's public register, of which 76 (68.5%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 392 disclosures on BrokerCheck, averaging 3.5 per firm. Grade distribution across Connecticut's broker-dealers: 76 graded A, 24 graded B, 8 graded C, 1 graded D, and 2 graded F. That means 68.5% of graded firms hold an A and 2.7% 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.

Frequently asked questions

How many broker-dealer firms are registered in Connecticut?
Connecticut has 111 actively registered broker-dealer firms on FINRA BrokerCheck, of which 76 (68.5%) hold a clean Grade-A record with no reportable disclosures.
Which Connecticut broker-dealer has the most FINRA disclosures?
Among firms registered in Connecticut, Interactive Brokers LLC carries the most reported BrokerCheck disclosures (118 across 17 branch offices). Disclosure totals reflect reported events, not proven violations, larger firms naturally carry more. Always review the specific records on FINRA BrokerCheck.
How are PlainAdvisorCheck safety grades calculated?
Grades are size-normalized: a firm's weighted disclosure load is divided by its branch-office footprint, then ranked within its size class. Firms with zero disclosures earn an A regardless of size. Grades are editorial signals, not FINRA ratings. See our methodology for the exact formula.
Is this official Connecticut broker data?
Yes. All firm records come from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD) - the official public registries for U.S. broker-dealers. PlainAdvisorCheck aggregates and size-normalizes them; the underlying records are public domain.
All Connecticut Firms → All States →

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

Related

Browse all firms → | Rankings →
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

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 SEC/FINRA regulatory filing 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.