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 |
|---|---|---|---|---|---|
| Oaktree Securities Corporation CRD: 15825 | - | 0 | 0 | A | INACTIVE |
| Oaktree Wealth Group Inc. CRD: 167388 | - | 0 | 1 | - | Unknown |
| Oaktrust Wealth Advisors, LLC CRD: 170827 | - | 0 | 1 | - | Unknown |
| Oakum BAY Capital, LLC CRD: 166025 | - | 0 | 1 | - | Unknown |
| Oakvale Investments Inc. CRD: 113450 | - | 0 | 2 | - | Unknown |
| Oakview Capital Management, L.P. CRD: 144877 | - | 0 | 1 | - | Unknown |
| Oakview Wealth Solutions LLC CRD: 297531 | - | 0 | 1 | - | Unknown |
| Oakwater Financial CRD: 325181 | - | 0 | 1 | - | Unknown |
| Oakwell Private Wealth Management CRD: 162096 | - | 0 | 11 | - | Unknown |
| Oakwise Capital Management Limited CRD: 311597 | - | 0 | 0 | - | Unknown |
| Oakwood Advisory Group, LLC CRD: 159691 | - | 0 | 2 | - | Unknown |
| Oakwood Capital Management LLC CRD: 108080 | - | 0 | 0 | - | Unknown |
| Oakwood Capital Securities, Inc. CRD: 21000 | FL | 1 | 31 | B | Active |
| Oakwood Capital, Inc. CRD: 112399 | - | 0 | 19 | - | Unknown |
| Oakwood Medical Management IV, L.L.C. CRD: 163221 | - | 0 | 0 | - | Unknown |
| Oakwood Medical Management, L.L.C. CRD: 163112 | - | 0 | 0 | - | Unknown |
| Oakwood Real Estate Partners, LLC CRD: 169387 | - | 0 | 1 | - | Unknown |
| Oakwood Securities Corporation CRD: 15238 | - | 0 | 0 | A | INACTIVE |
| Oakwood Securities, Inc. CRD: 13662 | - | 0 | 0 | A | INACTIVE |
| Oakwood Securities, Inc. CRD: 34615 | - | 0 | 0 | A | INACTIVE |
| Oakwood Wealth Advisors Ltd. CRD: 164656 | - | 0 | 1 | - | Unknown |
| Oakworth Asset Management, LLC CRD: 335388 | - | 0 | 13 | - | Unknown |
| OAR Financial CRD: 158989 | - | 0 | 1 | - | Unknown |
| Oars Capital CRD: 153198 | - | 0 | 1 | - | Unknown |
| Oarsman Capital, Inc CRD: 109993 | - | 0 | 4 | - | Unknown |
| Oase Financial Services, LLC CRD: 142434 | - | 0 | 0 | - | Unknown |
| Oasis Advisors CRD: 335555 | - | 0 | 23 | - | Unknown |
| Oasis Capital Management LLC CRD: 147812 | - | 0 | 0 | - | Unknown |
| Oasis Capital Partners (Texas) Inc. CRD: 171703 | - | 0 | 1 | - | Unknown |
| Oasis Financial Solutions, Inc CRD: 142782 | - | 0 | 0 | - | Unknown |
| Oasis Investment Strategies LLC CRD: 152957 | - | 0 | 1 | - | Unknown |
| Oasis Management (Hong Kong) CRD: 172752 | - | 0 | 0 | - | Unknown |
| Oasis Management Company Ltd. CRD: 167452 | - | 0 | 0 | - | Unknown |
| Oasis OIL Investments CRD: 22311 | - | 0 | 0 | A | INACTIVE |
| Oasis PRO Markets LLC CRD: 149420 | CT | 0 | 2 | A | Active |
| Oasis Realty Investment Group, LLC CRD: 324724 | - | 0 | 0 | - | Unknown |
| Oasis Trading LLC CRD: 127930 | - | 0 | 0 | A | INACTIVE |
| Oasis Wealth Planning Advisors CRD: 285474 | - | 0 | 7 | - | Unknown |
| Oasys Wealth, Inc. CRD: 339626 | - | 0 | 1 | - | Unknown |
| Oath Advisors LLC CRD: 309545 | - | 0 | 0 | - | Unknown |
| Oath Planning, LLC CRD: 299187 | - | 0 | 4 | - | Unknown |
| Oath Street Capital, LLC CRD: 298988 | - | 0 | 0 | - | Unknown |
| Oatley & Diak, LLC. CRD: 123589 | - | 0 | 4 | - | Unknown |
| Oatv Management Company, LLC CRD: 159682 | - | 0 | 1 | - | Unknown |
| Obar Wealth Management LLC CRD: 332815 | - | 0 | 1 | - | Unknown |
| OBD Securities LLC CRD: 153008 | - | 0 | 0 | A | INACTIVE |
| Obel Financial Advisors CRD: 155640 | - | 0 | 1 | - | Unknown |
| Obelisk Financial LLC CRD: 327725 | - | 0 | 0 | - | Unknown |
| Oberhofer & Company CRD: 18274 | - | 0 | 0 | A | INACTIVE |
| Oberland Capital Management LLC CRD: 169109 | - | 0 | 1 | - | Unknown |