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 |
|---|---|---|---|---|---|
| Oberlin Financial International, LLC CRD: 294205 | OH | 0 | 3 | A | Active |
| Oberlin Wealth Partners, LLC CRD: 164912 | - | 0 | 2 | - | Unknown |
| Obermaier Management LLC CRD: 158764 | - | 0 | 1 | - | Unknown |
| Obermeyer Wealth Partners CRD: 110069 | - | 0 | 8 | - | Unknown |
| Oberon Asset Management, LLC CRD: 123494 | - | 0 | 1 | - | Unknown |
| Oberon Securities, LLC CRD: 132598 | NY | 0 | 2 | A | Active |
| Obertlik Wealth Management LLC CRD: 335755 | - | 0 | 1 | - | Unknown |
| Oberweis Asset Management (Hong Kong) Limited CRD: 296901 | - | 0 | 0 | - | Unknown |
| Oberweis Asset Management Inc CRD: 105471 | - | 0 | 3 | - | Unknown |
| Oberweis Securities, Inc. CRD: 42060 | IL | 2 | 2 | B | Active |
| Oberweis Securities, Inc. CRD: 7739 | - | 0 | 0 | A | INACTIVE |
| Obex Investments LLC CRD: 118461 | - | 0 | 1 | - | Unknown |
| Obex Securities LLC CRD: 120002 | NY | 0 | 2 | A | Active |
| Obion Capital Management LP CRD: 329954 | - | 0 | 1 | - | Unknown |
| Objective Advisors LLC CRD: 164170 | - | 0 | 2 | - | Unknown |
| Objective Advisors, Inc. CRD: 107552 | - | 0 | 0 | - | Unknown |
| Objective Capital Management, LLC CRD: 156013 | - | 0 | 3 | - | Unknown |
| Objective Financial Planning LLC CRD: 135992 | - | 0 | 0 | - | Unknown |
| Objective Financial Solutions LLC CRD: 299261 | - | 0 | 0 | - | Unknown |
| Objective Function Research Advisors LLC CRD: 340917 | - | 0 | 0 | - | Unknown |
| Objective Investments, LLC CRD: 291514 | - | 0 | 1 | - | Unknown |
| Objective Planning CRD: 158915 | - | 0 | 0 | - | Unknown |
| Objective Wealth, LLC CRD: 305321 | - | 0 | 1 | - | Unknown |
| Objectivity Squared Wealth Management CRD: 311052 | - | 0 | 1 | - | Unknown |
| OBN Wealth Advisors CRD: 287483 | - | 0 | 1 | - | Unknown |
| OBP Capital CRD: 167619 | - | 0 | 1 | - | Unknown |
| OBP Municipals Corp. CRD: 25584 | - | 0 | 0 | A | INACTIVE |
| Obra Capital Management, LLC. CRD: 155231 | - | 0 | 2 | - | Unknown |
| Obra Fund Management, LLC CRD: 328207 | - | 0 | 1 | - | Unknown |
| Obran Capital Advisors LLC CRD: 325454 | - | 0 | 4 | - | Unknown |
| Obrien Greene & Co Inc CRD: 110281 | - | 0 | 3 | - | Unknown |
| OBS Brokerage Services, Inc. CRD: 104281 | - | 1 | 0 | B | INACTIVE |
| OBS Financial CRD: 138615 | - | 0 | 0 | - | Unknown |
| Observatory Capital Management, LLC CRD: 170532 | - | 0 | 1 | - | Unknown |
| Obsidian CIO, LLC CRD: 289000 | - | 0 | 1 | - | Unknown |
| Obsidian Equity Management, LLC CRD: 289475 | - | 0 | 0 | - | Unknown |
| Obsidian Financial Group, LLC CRD: 104255 | - | 26 | 0 | F | INACTIVE |
| Obsidian Global Partners, LLC CRD: 309999 | - | 0 | 0 | - | Unknown |
| Obsidian Investment Advisers, LLC CRD: 121157 | - | 0 | 2 | - | Unknown |
| Obsidian Investment Management CRD: 142141 | - | 0 | 0 | - | Unknown |
| Obsidian Personal Planning Solutions, LLC CRD: 168342 | - | 0 | 0 | - | Unknown |
| Obsidian Private Capital CRD: 283718 | - | 0 | 0 | - | Unknown |
| Obsidian Wealth Partners CRD: 339451 | - | 0 | 0 | - | Unknown |
| Obsidian Wisdom CRD: 310666 | - | 0 | 1 | - | Unknown |
| Obsidiant Partners LLC CRD: 332516 | - | 0 | 1 | - | Unknown |
| Obsido Capital Management, LLC CRD: 172593 | - | 0 | 1 | - | Unknown |
| Obvious Ventures CRD: 173187 | - | 0 | 1 | - | Unknown |
| OC Capital Management Ltd CRD: 335522 | - | 0 | 1 | - | Unknown |
| OC Investment Management LP CRD: 314948 | - | 0 | 1 | - | Unknown |
| OC Private Capital, LLC CRD: 290619 | - | 0 | 0 | - | Unknown |