State BrokerCheck inventory · July 2026

North Carolina broker-dealer grades

According to FINRA BrokerCheck as of July 2026, North Carolina ranks #13 of 56 by registered-firm inventory (55) and #13 of 56 by aggregate disclosure load (235), then #12 of 33 on disclosures-per-firm and #20 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.

#13
of 56 by firm inventory
55
registered firms
235
disclosures on file
4.3
avg disclosures / firm

North Carolina at a glance

According to FINRA BrokerCheck as of July 2026, North Carolina ranks #13 of 56 by registered-firm inventory (55) and #13 of 56 by aggregate disclosure load (235), then #12 of 33 on disclosures-per-firm and #20 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.

#13 of 56
registered-firm inventory
#13 of 56
aggregate disclosure load
#12 of 33
disclosures per firm (≥10 firms)
#20 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 North Carolina 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.

North Carolina vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

4 Among the lightest loads a lower disclosures-per-firm load than 64% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). Below this entry. 4–6: 8 floor-qualified states (24%). This entry sits in this band. 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. North Carolina 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 55 graded firms

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

55
Registered Firms
31
Clean Record (Grade A)
235
Total Disclosures
4.3
Avg Disclosures / Firm

Grade Distribution

How North Carolina's 55 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (31)31 firmsB, low (22)22 firmsC, typical (1)1 firmD, elevated (1)1 firmF, heaviest (0)0 firms
Grade breakdown of 55 graded firms headquartered in North Carolina

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 Wells Fargo Securities, LLC Charlotte 162 84 D
2 Capital Investment Group, Inc. Raleigh 10 82 B
3 Liberty Partners Financial Services, LLC Raleigh 9 8 B
4 Elevation, LLC Charlotte 7 5 B
5 Secu Brokerage Services Raleigh 7 280 B
6 First Citizens Investor Services, Inc. Raleigh 6 307 B
7 Southeast Investments, N.C., Inc. Charlotte 6 23 B
8 Supreme Alliance LLC Charlotte 6 20 B
9 Ally Invest Securities LLC Charlotte 3 7 C
10 Intercarolina Financial Services, Inc. Greensboro 3 21 B
11 JBS Liberty Securities, Inc. Kannapolis 2 3 B
12 Tradier Brokerage, Inc. Charlotte 2 3 B
13 Allspring Funds Distributor, LLC Charlotte 1 24 B
14 Capfinancial Securities, LLC. Raleigh 1 35 B
15 Capital Investment Brokerage, Inc. Raleigh 1 10 B
16 Equitable Distributors, LLC Charlotte 1 8 B
17 First Ballantyne, LLC Charlotte 1 2 B
18 First Tryon Securities, LLC Charlotte 1 3 B
19 Innovation Partners LLC Charlotte 1 41 B
20 Mcduffie/Morris Financial Group, Inc. Charlotte 1 2 B
21 Millennium Advisors, LLC Charlotte 1 2 B
22 Modern Capital Securities Inc. Raleigh 1 6 B
23 Place Trade Financial, Inc. Raleigh 1 3 B
24 Sovereign Legacy Securities, Inc. Pinehurst 1 2 B
25 Anderson Leneave & Co. Charlotte 0 1 A
26 B&D Capital Partners, LLC Charlotte 0 2 A
27 Barings Securities LLC Charlotte 0 3 A
28 Barnabas Capital, LLC Charlotte 0 2 A
29 Bourne Partners Securities, LLC Charlotte 0 2 A
30 Brighthouse Securities, LLC Charlotte 0 10 A
31 Bundy Group Securities, LLC Charlotte 0 3 A
32 Capital Management of the Carolinas, LLC Charlotte 0 2 A
33 Capitala Securities, LLC Charlotte 0 3 A
34 Carofin, LLC Brevard 0 2 A
35 Cleansource Securities Charlotte 0 2 A
36 Envoy Securities Charlotte 0 2 A
37 Equity Shift, Inc. Raleigh 0 2 A
38 Falcon Square Capital, LLC Raleigh 0 3 A
39 Fennebresque & Co., LLC Charlotte 0 2 A
40 Fidus Securities, LLC Charlotte 0 3 A
41 Folla Capital, LLC Wilmington 0 2 A
42 Fortress Private Ledger, LLC Raleigh 0 15 A
43 Hatteras Capital Distributors, LLC Raleigh 0 2 A
44 Hedgeserv Investment Services LLC Raleigh 0 2 A
45 Linden Thomas and Company Securities, LLC Charlotte 0 2 A
46 Milestone Investments, Inc. Charlotte 0 3 A
47 North Inlet Advisors, LLC Charlotte 0 2 A
48 Optsecurities, LLC Charlotte 0 2 A
49 Philpott Ball & Werner, LLC Charlotte 0 3 A
50 RF M&A Services LLC Charlotte 0 3 A

Dense registered-firm inventory

North Carolina in the denser-inventory third

North Carolina ranks #13 of 56 by BrokerCheck firm count (55 firms) - denser third of the board.

North Carolina sits in the denser third by registered-firm inventory (#13 of 56, 55 firms) as of July 2026. Graded inventory: 31 A / 22 B / 1 C / 1 D / 0 F (56.4% clean, 1.8% D or F). Heaviest raw book in-state: Wells Fargo Securities, LLC (162 disclosures across 84 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 North Carolina 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 North Carolina sit among states by BrokerCheck disclosure load?
North Carolina is in the heavier third by aggregate disclosure load (#13 of 56, 235 events) while inventory ranks #13 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in North Carolina?
North Carolina registers 55 BrokerCheck firms (#13 denser-third inventory). 31 (56.4%) hold a clean Grade-A record.
Which North Carolina broker-dealer has the most FINRA disclosures?
Wells Fargo Securities, LLC leads North Carolina's listing with 162 BrokerCheck disclosures across 84 offices (Grade D). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read North Carolina's safety grades?
On North Carolina'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 North Carolina broker data?
Yes. North Carolina'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 North Carolina 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 North Carolina. North Carolina ranks #13 by firm inventory and #13 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.