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 |
|---|---|---|---|---|---|
| OG Advisory Group, LLC CRD: 326855 | - | 0 | 1 | - | Unknown |
| Ogam, LP CRD: 287919 | - | 0 | 1 | - | Unknown |
| Ogard Wealth Management, LLC CRD: 281921 | - | 0 | 0 | - | Unknown |
| Ogborne Capital Management, LLC. CRD: 165833 | - | 0 | 1 | - | Unknown |
| Ogcp Management Co, LLC CRD: 226533 | - | 0 | 0 | - | Unknown |
| Ogden Asset Management, LLC CRD: 132419 | - | 0 | 2 | - | Unknown |
| Ogden Wealth Management & Planning Services, LLC CRD: 166164 | - | 0 | 0 | - | Unknown |
| Ogden, Thomas CRD: 318003 | - | 0 | 1 | - | Unknown |
| Ogilvie Security Advisors Corporation CRD: 10105 | - | 4 | 0 | C | INACTIVE |
| Oglesby Wealth Strategies, LLC CRD: 326777 | - | 0 | 1 | - | Unknown |
| Ogorek Wealth Management, LLC CRD: 105707 | - | 0 | 1 | - | Unknown |
| OH CAP Asset Management CRD: 330600 | - | 0 | 1 | - | Unknown |
| OHA Private Credit Advisors II, L.P. CRD: 322289 | - | 0 | 1 | - | Unknown |
| OHA Private Credit Advisors LLC CRD: 319664 | - | 0 | 1 | - | Unknown |
| Ohana Advisors CRD: 158515 | - | 0 | 1 | - | Unknown |
| Ohanae Securities LLC CRD: 304656 | NY | 0 | 2 | A | Active |
| Ohanesian / Lecours, Inc. CRD: 23757 | - | 1 | 0 | B | INACTIVE |
| Ohiggins Asset Management Inc CRD: 107194 | - | 0 | 2 | - | Unknown |
| Ohio CU Financial CRD: 341083 | - | 0 | 6 | - | Unknown |
| Ohio Investment Securities, Inc. CRD: 26549 | - | 0 | 0 | A | INACTIVE |
| Ohiowa Securities CRD: 23012 | - | 0 | 0 | A | INACTIVE |
| Ohlmann Investment Advisors LLC CRD: 165354 | - | 0 | 1 | - | Unknown |
| OHM Capital Advisors LLC CRD: 164210 | - | 0 | 0 | - | Unknown |
| Ohtaka Securities, LLC CRD: 125233 | - | 0 | 0 | A | INACTIVE |
| OIA Ltd CRD: 136174 | - | 0 | 0 | - | Unknown |
| OIC CRD: 282499 | - | 0 | 1 | - | Unknown |
| OIC Financial CRD: 329938 | - | 0 | 2 | - | Unknown |
| Oien Securities, Inc. CRD: 47371 | - | 0 | 0 | A | INACTIVE |
| OIF Management Corp. CRD: 283129 | - | 0 | 1 | - | Unknown |
| OIF Management II, L.L.C. CRD: 328293 | - | 0 | 1 | - | Unknown |
| Oikonomos Asset Management, LLC CRD: 322120 | - | 0 | 2 | - | Unknown |
| OIL and GAS Securities Sales, Inc. CRD: 4401 | - | 0 | 0 | A | INACTIVE |
| Oilsearch Capital Corporation CRD: 10995 | - | 0 | 0 | A | INACTIVE |
| OIM Capital, LLC CRD: 157535 | - | 0 | 0 | - | Unknown |
| OJM Group, LLC CRD: 119850 | - | 0 | 0 | - | Unknown |
| OK401K, Inc. CRD: 286410 | - | 0 | 1 | - | Unknown |
| Okabena Investment Services Inc CRD: 111162 | - | 0 | 1 | - | Unknown |
| Okapi Capital, LLC CRD: 310176 | - | 0 | 1 | - | Unknown |
| Okapi Venture Capital CRD: 161098 | - | 0 | 1 | - | Unknown |
| Okasan International (America) Inc. CRD: 11001 | - | 0 | 0 | A | INACTIVE |
| Okcoin Securities LLC CRD: 136696 | - | 0 | 0 | A | INACTIVE |
| Okeanos Venture Management LLC CRD: 327935 | - | 0 | 1 | - | Unknown |
| Okeefe & Associates, P.C. CRD: 123905 | - | 0 | 2 | - | Unknown |
| Okeefe, Harold John CRD: 37211 | - | 0 | 0 | A | INACTIVE |
| Okemo Capital Management, LLC CRD: 165816 | - | 0 | 1 | - | Unknown |
| Okoboji Financial Services, Inc. CRD: 33727 | - | 5 | 0 | C | INACTIVE |
| Okoboji Options LLC CRD: 34892 | - | 2 | 0 | B | INACTIVE |
| OKR Digital Holdings Inc. CRD: 342675 | - | 0 | 1 | - | Unknown |
| Okumus Fund Management, Ltd. CRD: 173718 | - | 0 | 0 | - | Unknown |
| Okung Ventures LLC CRD: 315105 | - | 0 | 1 | - | Unknown |