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 |
|---|---|---|---|---|---|
| Octave Ventures LLC CRD: 309878 | - | 0 | 1 | - | Unknown |
| Octavewealth CRD: 170975 | - | 0 | 1 | - | Unknown |
| Octavia Investments LLC CRD: 167721 | - | 0 | 1 | - | Unknown |
| Octavia Wealth Advisors LLC CRD: 306909 | - | 0 | 29 | - | Unknown |
| Octeg, LLC CRD: 117429 | - | 9 | 0 | D | INACTIVE |
| Octo Capital, LLC CRD: 174351 | - | 0 | 1 | - | Unknown |
| October Associates, Inc. CRD: 35404 | - | 0 | 0 | A | INACTIVE |
| October Effect Ltd. CRD: 281369 | - | 0 | 3 | - | Unknown |
| October Three Financial Solutions, LLC CRD: 152950 | - | 0 | 2 | - | Unknown |
| October Wealth Advisors, Inc CRD: 153993 | - | 0 | 2 | - | Unknown |
| Octogone NA CRD: 285157 | - | 0 | 0 | - | Unknown |
| Octogone NA CRD: 322478 | - | 0 | 1 | - | Unknown |
| Octopus AIF Management Limited CRD: 284953 | - | 0 | 0 | - | Unknown |
| Octopus Energy Generation CRD: 326704 | - | 0 | 0 | - | Unknown |
| Octopus Investments Limited CRD: 286650 | - | 0 | 0 | - | Unknown |
| Octoraro Co. CRD: 104107 | - | 1 | 0 | B | INACTIVE |
| OCV Management, LLC CRD: 291680 | - | 0 | 1 | - | Unknown |
| Ocvc, LLC CRD: 289991 | - | 0 | 1 | - | Unknown |
| Ocwen Capital Markets Inc. CRD: 42173 | - | 0 | 0 | A | INACTIVE |
| Ocwen Trading, Inc. CRD: 13693 | - | 0 | 0 | A | INACTIVE |
| ODA and Company, Inc. CRD: 119952 | - | 0 | 4 | - | Unknown |
| Odba VC, LLC CRD: 325355 | - | 0 | 0 | - | Unknown |
| ODD EYE Trading, LLC CRD: 121973 | - | 0 | 0 | A | INACTIVE |
| ODD LOT Bonds, Inc CRD: 43033 | - | 1 | 0 | B | INACTIVE |
| ODD Lots Securities Ltd CRD: 5130 | - | 0 | 0 | A | INACTIVE |
| ODD-LOT Execution Services, L.L.C. CRD: 40396 | - | 1 | 0 | B | INACTIVE |
| Oddo BHF NEW York Corporation CRD: 45104 | NY | 1 | 2 | B | Active |
| ODE Capital Inc CRD: 158005 | - | 0 | 0 | - | Unknown |
| Odell & Critchley PC CRD: 156639 | - | 0 | 0 | - | Unknown |
| Odeon Capital Advisors LLC CRD: 307619 | - | 0 | 4 | - | Unknown |
| Odeon Capital Group LLC CRD: 148493 | NY | 5 | 3 | B | Active |
| Oder Investment Management, LLC CRD: 134506 | - | 0 | 2 | - | Unknown |
| Odessa Capital Management, LLC CRD: 148079 | - | 0 | 0 | - | Unknown |
| Odette Partners LLC CRD: 325420 | - | 0 | 0 | - | Unknown |
| Odey Asset Management LLP CRD: 113858 | - | 0 | 0 | - | Unknown |
| Odigo Financial, LLC CRD: 282578 | - | 0 | 0 | - | Unknown |
| Odin Capital Management CRD: 167404 | - | 0 | 0 | - | Unknown |
| Odin Venture Partners CRD: 308982 | - | 0 | 0 | - | Unknown |
| Odin88 Asset Management, LLC CRD: 302062 | - | 0 | 0 | - | Unknown |
| Odingard Capital Management CRD: 297861 | - | 0 | 1 | - | Unknown |
| Odinic Advisors LLC CRD: 285166 | - | 0 | 1 | - | Unknown |
| Odinson Partners, LLC CRD: 316153 | - | 0 | 1 | - | Unknown |
| Odiorne Point Asset Management, LLC CRD: 324617 | - | 0 | 2 | - | Unknown |
| Odlum Brown USA Investment Management Limited CRD: 132242 | - | 0 | 0 | - | Unknown |
| Odum Life Planning, LLC CRD: 305493 | - | 0 | 0 | - | Unknown |
| Odyssean, LLC CRD: 338473 | - | 0 | 1 | - | Unknown |
| Odyssey Alliance Wealth Advisors, LLC CRD: 292426 | - | 0 | 0 | - | Unknown |
| Odyssey Capital Advisors Inc. CRD: 299034 | - | 0 | 1 | - | Unknown |
| Odyssey Capital Management, LLC CRD: 162972 | - | 0 | 0 | - | Unknown |
| Odyssey Digital Capital Management, LLC CRD: 312421 | - | 0 | 0 | - | Unknown |