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 |
|---|---|---|---|---|---|
| OC Securities, Inc. CRD: 133264 | - | 2 | 0 | B | INACTIVE |
| OCA Ventures, LLC CRD: 161160 | - | 0 | 1 | - | Unknown |
| Ocala Capital, LLC CRD: 174846 | - | 0 | 1 | - | Unknown |
| Ocampo Capital LLC CRD: 335124 | - | 0 | 1 | - | Unknown |
| OCC Distributors LLC CRD: 18541 | - | 0 | 0 | A | INACTIVE |
| Occam Capital Management CRD: 290688 | - | 0 | 0 | - | Unknown |
| Occam Capital Management, LLC CRD: 108201 | - | 0 | 2 | - | Unknown |
| Occam Crest Management LP CRD: 318337 | - | 0 | 1 | - | Unknown |
| Occasio Partners, LLC CRD: 323942 | - | 0 | 1 | - | Unknown |
| Occidental Asset Management, LLC CRD: 168650 | - | 0 | 9 | - | Unknown |
| Occidental Funding Corporation CRD: 16742 | - | 0 | 0 | A | INACTIVE |
| Occudo Quantitative Strategies LP CRD: 310070 | - | 0 | 1 | - | Unknown |
| OCD Financial Group, LLC CRD: 128830 | - | 0 | 0 | - | Unknown |
| Ocean Advisors, LLC CRD: 150273 | - | 0 | 0 | - | Unknown |
| Ocean Advisors, LLC CRD: 133124 | - | 0 | 1 | - | Unknown |
| Ocean Arete Limited CRD: 286314 | - | 0 | 0 | - | Unknown |
| Ocean Avenue Capital Advisors, Inc. CRD: 147637 | - | 0 | 0 | - | Unknown |
| Ocean Avenue Capital Partners, L.P. CRD: 160122 | - | 0 | 1 | - | Unknown |
| Ocean Avenue Wealth Management CRD: 154655 | - | 0 | 1 | - | Unknown |
| Ocean Blue Wealth Services LLC CRD: 312265 | - | 0 | 0 | - | Unknown |
| Ocean Breeze Wealth LLC CRD: 292434 | - | 0 | 1 | - | Unknown |
| Ocean Brokerage LLC CRD: 100900 | - | 0 | 0 | A | INACTIVE |
| Ocean Capital Advisors, LLC CRD: 290341 | - | 0 | 0 | - | Unknown |
| Ocean Capital Corporation CRD: 29224 | - | 0 | 0 | A | INACTIVE |
| Ocean Capital Management Ltd. CRD: 284349 | - | 0 | 0 | - | Unknown |
| Ocean Crest Financial CRD: 299482 | - | 0 | 0 | - | Unknown |
| Ocean Cross Capital Markets LLC CRD: 156256 | - | 1 | 0 | B | INACTIVE |
| Ocean Dial Asset Management Limited CRD: 226612 | - | 0 | 0 | - | Unknown |
| Ocean Endowment Partners, LLC CRD: 154518 | - | 0 | 1 | - | Unknown |
| Ocean Financial Advisors LLC CRD: 291950 | - | 0 | 3 | - | Unknown |
| Ocean Financial Services, LLC CRD: 164289 | FL | 0 | 4 | A | Active |
| Ocean Index Partners, LLC CRD: 337950 | - | 0 | 1 | - | Unknown |
| Ocean Link Partners II Limited CRD: 306565 | - | 0 | 0 | - | Unknown |
| Ocean Link Partners Limited CRD: 285280 | - | 0 | 0 | - | Unknown |
| Ocean Park Asset Management, Inc. CRD: 105765 | - | 0 | 0 | - | Unknown |
| Ocean Park Asset Management, LLC CRD: 145634 | - | 0 | 8 | - | Unknown |
| Ocean Park Capital Management, LLC CRD: 134517 | - | 0 | 6 | - | Unknown |
| Ocean Park Investments LP CRD: 318085 | - | 0 | 1 | - | Unknown |
| Ocean Park Securities, LLC CRD: 282608 | MN | 0 | 2 | A | Active |
| Ocean Path Advisors, LLC CRD: 338933 | - | 0 | 2 | - | Unknown |
| Ocean Peak Capital Management LP CRD: 282921 | - | 0 | 0 | - | Unknown |
| Ocean Securities Corporation CRD: 13001 | - | 0 | 0 | A | INACTIVE |
| Ocean State Securities, Inc. CRD: 5812 | - | 0 | 0 | A | INACTIVE |
| Ocean Tomo Investment Group, LLC CRD: 172912 | - | 0 | 0 | A | INACTIVE |
| Ocean View Advisors, LLC CRD: 300022 | - | 0 | 1 | - | Unknown |
| Ocean View Advisory CRD: 291479 | - | 0 | 0 | - | Unknown |
| Ocean View Capital, LLC CRD: 148616 | - | 5 | 0 | C | INACTIVE |
| Oceana Investimentos Administradora DE Carteira DE… CRD: 338155 | - | 0 | 0 | - | Unknown |
| Oceana Partners LLC CRD: 129883 | - | 0 | 0 | A | INACTIVE |
| Oceanair Wealth CRD: 335107 | - | 0 | 1 | - | Unknown |