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'toole Strategic Investments LLC CRD: 310758 | - | 0 | 1 | - | Unknown |
| O-CAP Management, L.P. CRD: 162432 | - | 0 | 0 | - | Unknown |
| O-SIX Impact Partners, LLC CRD: 327476 | - | 0 | 0 | - | Unknown |
| O. H. Ashley & Co., Inc. CRD: 7173 | - | 0 | 0 | A | INACTIVE |
| O. R. Securities, Inc. CRD: 10216 | - | 0 | 0 | A | INACTIVE |
| O.F.O. Partners, LLC CRD: 297424 | - | 0 | 1 | - | Unknown |
| O.S.S. Capital Management LP CRD: 151841 | - | 0 | 0 | - | Unknown |
| O.V. Davi CRD: 111367 | - | 0 | 1 | - | Unknown |
| O15 Capital Partners, LLC CRD: 328464 | - | 0 | 1 | - | Unknown |
| O2 Investment Partners, L.P. CRD: 291435 | - | 0 | 1 | - | Unknown |
| O2 Investments LLC CRD: 337334 | - | 0 | 1 | - | Unknown |
| O2Funds CRD: 305756 | - | 0 | 0 | - | Unknown |
| OA Private Capital CRD: 282516 | - | 0 | 1 | - | Unknown |
| OAC Capital Advisors LLC CRD: 317559 | - | 0 | 2 | - | Unknown |
| Oade Financial CRD: 299969 | - | 0 | 1 | - | Unknown |
| OAG Wealth Management, LLC CRD: 168951 | - | 0 | 0 | - | Unknown |
| Oagh CRD: 281282 | - | 0 | 1 | - | Unknown |
| OAK & Reed Capital Management, LLC CRD: 158867 | - | 0 | 2 | - | Unknown |
| OAK Advisors, LLC CRD: 137192 | - | 0 | 1 | - | Unknown |
| OAK Asset Management, LLC CRD: 139790 | - | 0 | 0 | - | Unknown |
| OAK Asset Management, LLC CRD: 287856 | - | 0 | 5 | - | Unknown |
| OAK Associates Ltd CRD: 108874 | - | 0 | 2 | - | Unknown |
| OAK BAY Financial, LLC CRD: 339012 | - | 0 | 1 | - | Unknown |
| OAK Biocapital Management, LLC CRD: 334577 | - | 0 | 1 | - | Unknown |
| OAK Brook Advisors Ltd CRD: 118151 | - | 0 | 4 | - | Unknown |
| OAK Brook Asset Management, Corporation CRD: 113778 | - | 0 | 2 | - | Unknown |
| OAK Brook Capital Corporation CRD: 14070 | - | 0 | 0 | A | INACTIVE |
| OAK Brook Securities Corp. CRD: 16886 | - | 3 | 0 | C | INACTIVE |
| OAK Capital Advisors CRD: 161316 | - | 0 | 1 | - | Unknown |
| OAK Capital Advisors, LLC CRD: 285091 | - | 0 | 1 | - | Unknown |
| OAK Circle Asset Management, LLC CRD: 125193 | - | 0 | 0 | - | Unknown |
| OAK Circle Capital Partners LLC CRD: 164639 | - | 0 | 0 | - | Unknown |
| OAK City Investment Consulting CRD: 162220 | - | 0 | 1 | - | Unknown |
| OAK City Investment Management LLC CRD: 293018 | - | 0 | 0 | - | Unknown |
| OAK Creek Private Wealth Management LLC CRD: 306851 | - | 0 | 1 | - | Unknown |
| OAK Creek Securities, Incorporated CRD: 15712 | - | 0 | 0 | A | INACTIVE |
| OAK Crest Advisory, LLC CRD: 304255 | - | 0 | 1 | - | Unknown |
| OAK Family Advisors, LLC CRD: 141332 | - | 0 | 1 | - | Unknown |
| OAK Financial Corporation CRD: 24380 | - | 0 | 0 | A | INACTIVE |
| OAK Financial Group Inc CRD: 106293 | - | 0 | 2 | - | Unknown |
| OAK Financial Planning and Coaching, LLC CRD: 283894 | - | 0 | 1 | - | Unknown |
| OAK Grove Capital, LLC CRD: 165465 | - | 0 | 2 | - | Unknown |
| OAK Grove Investment Services, Inc. CRD: 46343 | - | 0 | 0 | A | INACTIVE |
| OAK Grove Management LLC CRD: 167286 | - | 0 | 1 | - | Unknown |
| OAK Harbor Capital, LLC CRD: 169089 | - | 0 | 1 | - | Unknown |
| OAK Harvest Investment Services CRD: 173293 | - | 0 | 1 | - | Unknown |
| OAK HCFT Management Company LLC CRD: 171582 | - | 0 | 1 | - | Unknown |
| OAK Hill Advisors, L.P. CRD: 125352 | - | 0 | 1 | - | Unknown |
| OAK Hill Capital Management, LLC CRD: 136656 | - | 0 | 1 | - | Unknown |
| OAK Hill Securities, Inc. CRD: 23192 | - | 0 | 0 | A | INACTIVE |