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 |
|---|---|---|---|---|---|
| Oceancross Capital, LLC CRD: 142806 | - | 0 | 0 | A | INACTIVE |
| Oceanic Capital Management LLC CRD: 146135 | - | 0 | 1 | - | Unknown |
| Oceanic Investment Management Limited CRD: 160287 | - | 0 | 0 | - | Unknown |
| Oceanic Partners, Inc. CRD: 174179 | - | 0 | 1 | - | Unknown |
| Oceaniq Capital, LLC CRD: 168062 | - | 0 | 2 | - | Unknown |
| Oceaniq Partners LLC CRD: 282269 | - | 0 | 0 | - | Unknown |
| Oceanis Financial Advisors, Inc. CRD: 173581 | - | 0 | 0 | - | Unknown |
| Oceanis Financial Advisors, Inc. CRD: 307787 | - | 0 | 1 | - | Unknown |
| Oceans Management, LLC CRD: 323086 | - | 0 | 1 | - | Unknown |
| Oceanshore Partners, LLC CRD: 163027 | - | 0 | 0 | - | Unknown |
| Oceanside Advisors LLC CRD: 170307 | - | 0 | 1 | - | Unknown |
| Oceanside Securities, LLC CRD: 287679 | - | 0 | 0 | - | Unknown |
| Oceansound Partners, LP CRD: 300935 | - | 0 | 1 | - | Unknown |
| Oceanus Capital Management CRD: 331624 | - | 0 | 2 | - | Unknown |
| Oceanus Capital Partners, LLC CRD: 314081 | - | 0 | 1 | - | Unknown |
| Oceanus Research LLC CRD: 314649 | - | 0 | 1 | - | Unknown |
| Oceanus Securities, LLC CRD: 133798 | NY | 0 | 2 | A | Active |
| Oceanvast Capital Limited CRD: 338240 | - | 0 | 0 | - | Unknown |
| Oceanwood Capital Advisers Limited CRD: 315844 | - | 0 | 0 | - | Unknown |
| Oceanwood Capital LLC CRD: 296850 | - | 0 | 0 | - | Unknown |
| Oceanwood Capital Management LLP CRD: 163622 | - | 0 | 0 | - | Unknown |
| Oceanwood Capital Management Ltd CRD: 159874 | - | 0 | 0 | - | Unknown |
| Ocelot Capital Management, LLC CRD: 298055 | - | 0 | 1 | - | Unknown |
| Ochoco Investment, LLC CRD: 284816 | - | 0 | 0 | - | Unknown |
| Ochsenhaut & Co., Inc. CRD: 7576 | - | 0 | 0 | A | INACTIVE |
| OCM Distributors, Inc. CRD: 23204 | - | 0 | 0 | A | INACTIVE |
| OCM Investments, LLC CRD: 128803 | CA | 0 | 4 | A | Active |
| Ocnayr CRD: 13790 | - | 2 | 0 | B | INACTIVE |
| OCO Capital Partners LP CRD: 299461 | - | 0 | 1 | - | Unknown |
| Ocorian Fund Management S.À R.L. CRD: 338098 | - | 0 | 0 | - | Unknown |
| Ocotillo Wealth Management LLC CRD: 288438 | - | 0 | 1 | - | Unknown |
| OCP Asia (Australia) PTY Limited CRD: 321639 | - | 0 | 0 | - | Unknown |
| OCP Asia (Hong Kong) Limited CRD: 294456 | - | 0 | 0 | - | Unknown |
| OCP Asia (Singapore) PTE. Limited CRD: 294457 | - | 0 | 0 | - | Unknown |
| OCP Asia Limited CRD: 159914 | - | 0 | 0 | - | Unknown |
| OCP Capital, LLC CRD: 143381 | FL | 1 | 2 | B | Active |
| OCP Fund Management LP CRD: 298996 | - | 0 | 0 | - | Unknown |
| Octagon America Limited CRD: 148089 | - | 0 | 0 | A | INACTIVE |
| Octagon Asset Management, LLC CRD: 286248 | - | 0 | 1 | - | Unknown |
| Octagon Capital Advisors LP CRD: 306424 | - | 0 | 1 | - | Unknown |
| Octagon Capital Group, LLC CRD: 173341 | - | 0 | 0 | A | INACTIVE |
| Octagon Credit Investors, LLC CRD: 155336 | - | 0 | 1 | - | Unknown |
| Octagon Finance LLC CRD: 289850 | - | 0 | 1 | - | Unknown |
| Octagon Securities, LLC CRD: 118816 | - | 0 | 0 | A | INACTIVE |
| Octahedron Capital Management, L.P. CRD: 309209 | - | 0 | 1 | - | Unknown |
| Octane Investments Inc. CRD: 331660 | - | 0 | 0 | - | Unknown |
| Octant Quantitative Investment Management LLC CRD: 165355 | - | 0 | 1 | - | Unknown |
| Octaura Securities CRD: 321877 | NY | 0 | 2 | A | Active |
| Octave Investment Management LLP CRD: 166314 | - | 0 | 0 | - | Unknown |
| Octave Management I, LLC CRD: 330636 | - | 0 | 1 | - | Unknown |