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 |
|---|---|---|---|---|---|
| OAK Hill Wealth Advisors, LLC CRD: 318606 | - | 0 | 0 | - | Unknown |
| OAK Hills Securities, Inc. CRD: 145579 | OK | 2 | 2 | B | Active |
| OAK Investments, LLC CRD: 331923 | - | 0 | 1 | - | Unknown |
| OAK Lane Advisors CRD: 140612 | - | 0 | 5 | - | Unknown |
| OAK Management Corporation CRD: 162441 | - | 0 | 1 | - | Unknown |
| OAK Maple Finance, LLC CRD: 322908 | - | 0 | 1 | - | Unknown |
| OAK Mountain Advisors CRD: 168087 | - | 0 | 3 | - | Unknown |
| OAK Mountain Capital Partners CRD: 171328 | - | 0 | 0 | - | Unknown |
| OAK Park Wealth Management LLC CRD: 195511 | - | 0 | 1 | - | Unknown |
| OAK Peak Financial CRD: 226668 | - | 0 | 1 | - | Unknown |
| OAK Point Financial Group CRD: 155126 | - | 0 | 0 | - | Unknown |
| OAK Point Wealth Management, LLC CRD: 286152 | - | 0 | 0 | - | Unknown |
| OAK Private Wealth LLC CRD: 318537 | - | 0 | 1 | - | Unknown |
| OAK Proof Management LLC CRD: 335186 | - | 0 | 1 | - | Unknown |
| OAK Quarry Management, LLC CRD: 316131 | - | 0 | 1 | - | Unknown |
| OAK Ridge Investments, Inc. CRD: 25544 | - | 4 | 0 | C | INACTIVE |
| OAK Ridge Investments, LLC CRD: 107066 | - | 0 | 3 | - | Unknown |
| OAK Ridge Securities, Incorporated CRD: 17491 | - | 0 | 0 | A | INACTIVE |
| OAK River Financial Group, Inc. CRD: 108575 | - | 0 | 0 | - | Unknown |
| OAK River Investments, Inc. CRD: 120118 | - | 1 | 0 | B | INACTIVE |
| OAK Road Wealth Management CRD: 284446 | - | 0 | 1 | - | Unknown |
| OAK Root LLC CRD: 246788 | - | 0 | 2 | - | Unknown |
| OAK Securities, Inc. CRD: 10987 | - | 0 | 0 | A | INACTIVE |
| OAK Springs Wealth Management, LLC CRD: 164332 | - | 0 | 2 | - | Unknown |
| OAK Square Advisors CRD: 299591 | - | 0 | 0 | - | Unknown |
| OAK Street Advisors CRD: 139400 | - | 0 | 2 | - | Unknown |
| OAK Street Advisory Group, LLC CRD: 283444 | - | 0 | 1 | - | Unknown |
| OAK Street Investment Management LLC CRD: 337258 | - | 0 | 1 | - | Unknown |
| OAK Street Investments CRD: 288019 | - | 0 | 1 | - | Unknown |
| OAK Street Securities, Inc. CRD: 133591 | - | 1 | 0 | B | INACTIVE |
| OAK Summit Wealth Management, Inc. CRD: 135465 | - | 0 | 0 | - | Unknown |
| OAK Summit Wealth Management, Inc. CRD: 334753 | - | 0 | 1 | - | Unknown |
| OAK Trading Limited Partnership CRD: 42266 | - | 0 | 0 | A | INACTIVE |
| OAK Trail Advisors CRD: 296842 | - | 0 | 0 | - | Unknown |
| OAK Tree Advisory Services Inc CRD: 105883 | - | 0 | 1 | - | Unknown |
| OAK Tree Financial Services, LLC CRD: 175281 | - | 0 | 0 | - | Unknown |
| OAK Tree Investment Advisors CRD: 111095 | - | 0 | 2 | - | Unknown |
| OAK Tree Securities, Inc. CRD: 18126 | CA | 2 | 10 | B | Active |
| OAK Tree Wealth Management CRD: 164685 | - | 0 | 1 | - | Unknown |
| OAK Vista Capital Management CRD: 304123 | - | 0 | 0 | - | Unknown |
| OAK Wealth Advisors LLC CRD: 148832 | - | 0 | 6 | - | Unknown |
| Oakbourne Advisors CRD: 129112 | - | 0 | 9 | - | Unknown |
| Oakbridge Asset Managment, LLC CRD: 117111 | - | 0 | 0 | - | Unknown |
| Oakbridge Financial Services CRD: 16323 | - | 7 | 0 | D | INACTIVE |
| Oakbridge Partners, Ltd. CRD: 105829 | - | 0 | 0 | - | Unknown |
| Oakbrook Investment Brokers, Inc. CRD: 22133 | - | 1 | 0 | B | INACTIVE |
| Oakbrook Investments CRD: 108003 | - | 0 | 0 | - | Unknown |
| Oakbrook Realty Advisors, Inc. CRD: 24952 | - | 0 | 0 | A | INACTIVE |
| Oakcliff Partners LLC CRD: 162325 | - | 0 | 1 | - | Unknown |
| Oakdale Financial Group LLC CRD: 121916 | - | 1 | 0 | B | INACTIVE |