Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| O'connor Financial Group, LLC CRD: 156164 | - | 0 | 1 | - | Unknown |
| O'connor Investment Advisors, Inc. CRD: 119545 | - | 0 | 0 | - | Unknown |
| O'connor Investments CRD: 19724 | - | 0 | 0 | A | INACTIVE |
| O'connor Portfolio Management LLC CRD: 168679 | - | 0 | 1 | - | Unknown |
| O'connor Securities CRD: 17634 | - | 2 | 0 | B | INACTIVE |
| O'connor Securities Incorporated CRD: 29304 | - | 0 | 0 | A | INACTIVE |
| O'connor Wealth Management, Inc. CRD: 152316 | - | 0 | 1 | - | Unknown |
| O'connor Wealth Planning LLC CRD: 312576 | - | 0 | 0 | - | Unknown |
| O'connor, Edmund Joseph CRD: 103903 | - | 0 | 0 | A | INACTIVE |
| O'connor, Michael Joseph CRD: 32930 | - | 0 | 0 | A | INACTIVE |
| O'connor, Paul & Phillips, Inc. CRD: 23360 | - | 0 | 0 | A | INACTIVE |
| O'cono/Trade,Inc. CRD: 14223 | - | 0 | 0 | A | INACTIVE |
| O'daly Management Company CRD: 16183 | - | 0 | 0 | A | INACTIVE |
| O'donnell Financial Services, LLC CRD: 172520 | - | 0 | 1 | - | Unknown |
| O'donnell Portfolio Management, Inc. CRD: 122371 | - | 0 | 1 | - | Unknown |
| O'donnell Securities Corporation CRD: 14202 | - | 1 | 0 | B | INACTIVE |
| O'donnell Wealth Management CRD: 323384 | - | 0 | 4 | - | Unknown |
| O'donnell, Lance Sunde CRD: 44437 | - | 0 | 0 | A | INACTIVE |
| O'donnell, William Nichols CRD: 112856 | - | 0 | 0 | A | INACTIVE |
| O'donoghue Insurance Agency Inc. CRD: 149175 | - | 0 | 1 | - | Unknown |
| O'donoghue, David Gerard CRD: 34060 | - | 0 | 0 | A | INACTIVE |
| O'dowd Asset Management LLC CRD: 307641 | - | 0 | 1 | - | Unknown |
| O'ferrall Advisory Services CRD: 328962 | - | 0 | 1 | - | Unknown |
| O'gorman Asset Management, Inc. CRD: 129056 | - | 0 | 1 | - | Unknown |
| O'grady Financial LLC CRD: 301894 | - | 0 | 1 | - | Unknown |
| O'grady Financial Services LLC CRD: 292707 | - | 0 | 0 | - | Unknown |
| O'H Capital LLC CRD: 324638 | - | 0 | 1 | - | Unknown |
| O'hagan Group, Inc. CRD: 315389 | - | 0 | 4 | - | Unknown |
| O'hara JR., Lewis Edward CRD: 121679 | - | 0 | 0 | - | Unknown |
| O'hara Wealth Management Inc CRD: 297201 | - | 0 | 1 | - | Unknown |
| O'haver Wealth Management, LLC CRD: 299698 | - | 0 | 1 | - | Unknown |
| O'keefe Shaw & Co., Inc. CRD: 40820 | - | 2 | 0 | B | INACTIVE |
| O'keefe Stevens Advisory, Inc. CRD: 286338 | - | 0 | 2 | - | Unknown |
| O'leary Financial Strategies LLC CRD: 324630 | - | 0 | 0 | - | Unknown |
| O'leary Ventures Management, L.P. CRD: 325968 | - | 0 | 1 | - | Unknown |
| O'neal Equities, Inc. CRD: 13548 | - | 0 | 0 | A | INACTIVE |
| O'neal, David Thomas CRD: 103913 | - | 0 | 0 | A | INACTIVE |
| O'neil Global Advisors, Inc. CRD: 308150 | - | 0 | 1 | - | Unknown |
| O'neill Financial Management, Inc. CRD: 283273 | - | 0 | 2 | - | Unknown |
| O'neill Financial Planning LLC CRD: 282870 | - | 0 | 0 | - | Unknown |
| O'neill, Daniel Francis CRD: 31711 | - | 0 | 0 | A | INACTIVE |
| O'reilly LLC CRD: 127558 | - | 0 | 0 | - | Unknown |
| O'reilly Wealth Advisors CRD: 141789 | - | 0 | 2 | - | Unknown |
| O'reilly Wealth Coaching LLC CRD: 323593 | - | 0 | 0 | - | Unknown |
| O'rourke & Company, Incorporated CRD: 132481 | - | 0 | 3 | - | Unknown |
| O'rourke Financial CRD: 297726 | - | 0 | 1 | - | Unknown |
| O'rourke, Jerome Edward CRD: 40743 | - | 0 | 0 | A | INACTIVE |
| O'shares ETF Investments CRD: 284445 | - | 0 | 0 | - | Unknown |
| O'shaughnessy Asset Management, LLC CRD: 144594 | - | 0 | 1 | - | Unknown |
| O'toole Insurance & Securities CRD: 5120 | NY | 2 | 2 | B | Active |