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 |
|---|---|---|---|---|---|
| OLD OAK Securities CRD: 35697 | - | 0 | 0 | A | INACTIVE |
| OLD Orchard Capital Management LP CRD: 170641 | - | 0 | 1 | - | Unknown |
| OLD Peak Finance CRD: 154804 | - | 0 | 1 | - | Unknown |
| OLD Peak Limited CRD: 284472 | - | 0 | 0 | - | Unknown |
| OLD Port Advisors CRD: 108228 | - | 0 | 1 | - | Unknown |
| OLD Republic Equity Plans, Inc. CRD: 5398 | - | 0 | 0 | A | INACTIVE |
| OLD Rock Asset Management LLC CRD: 145748 | - | 0 | 1 | - | Unknown |
| OLD School Capital LLC CRD: 118226 | - | 0 | 2 | - | Unknown |
| OLD Security Group CRD: 163125 | - | 0 | 1 | - | Unknown |
| OLD Slip Capital Management, Inc. CRD: 7360 | TX | 3 | 2 | B | Active |
| OLD Slip Registered Investment Advisors, LLC CRD: 297976 | - | 0 | 1 | - | Unknown |
| OLD Stone Securities Company CRD: 15665 | - | 0 | 0 | A | INACTIVE |
| OLD Town Media Advisers LLC CRD: 306314 | - | 0 | 0 | - | Unknown |
| OLD Vine Capital CRD: 305172 | - | 0 | 2 | - | Unknown |
| OLD Vines Capital, LLC CRD: 326582 | - | 0 | 1 | - | Unknown |
| OLD Well Partners, LLC CRD: 285195 | - | 0 | 0 | - | Unknown |
| OLD West Investment Management, LLC CRD: 148343 | - | 0 | 1 | - | Unknown |
| OLD West Investments,Ltd. CRD: 15228 | - | 0 | 0 | A | INACTIVE |
| OLD World Financial Advisors CRD: 329141 | - | 0 | 1 | - | Unknown |
| Olde Economie Financial Consultants, Ltd. CRD: 21304 | - | 1 | 0 | B | INACTIVE |
| Olde Raleigh Financial Group CRD: 342848 | - | 0 | 1 | - | Unknown |
| Olde Towne Financial Management Co. CRD: 288706 | - | 0 | 1 | - | Unknown |
| Olde Wealth Management, LLC CRD: 308991 | - | 0 | 3 | - | Unknown |
| Olde World Investments CRD: 329714 | - | 0 | 1 | - | Unknown |
| Olden Lane Advisors LLC CRD: 282278 | - | 0 | 0 | - | Unknown |
| Olden Lane Securities, LLC CRD: 173847 | NJ | 0 | 2 | A | Active |
| Oldenburg Investment Professionals CRD: 168943 | - | 0 | 1 | - | Unknown |
| Oldfather Financial Services CRD: 339739 | - | 0 | 1 | - | Unknown |
| Oldfather Financial Services LLC CRD: 112505 | - | 0 | 0 | - | Unknown |
| Oldfield Capital Group LLC CRD: 159498 | NY | 0 | 2 | A | Active |
| Oldfield Marketing Group Ltd. CRD: 8465 | - | 0 | 0 | A | INACTIVE |
| Oldfield Partners LLP CRD: 140556 | - | 0 | 0 | - | Unknown |
| Oldfield Wealth Partners CRD: 332765 | - | 0 | 1 | - | Unknown |
| Olds Securities Corporation CRD: 11210 | - | 0 | 0 | A | INACTIVE |
| Oldslip Management LLC CRD: 310932 | - | 0 | 1 | - | Unknown |
| Olea Advisory Services CRD: 340377 | - | 0 | 1 | - | Unknown |
| Oleet Securities, LLC CRD: 146895 | - | 2 | 0 | B | INACTIVE |
| Oler Investment Management, LLC CRD: 291750 | - | 0 | 0 | - | Unknown |
| Olesen Capital Management LLC CRD: 170638 | - | 0 | 1 | - | Unknown |
| Olesky Capital Management, LLC CRD: 111627 | - | 0 | 2 | - | Unknown |
| Olhoeft Financial, LLC CRD: 139870 | - | 0 | 2 | - | Unknown |
| Olimpia Partners (USA) LLC CRD: 306172 | - | 0 | 0 | A | INACTIVE |
| Olimpio NEU & Associates, Inc. CRD: 114752 | - | 0 | 1 | - | Unknown |
| Olin Securities Corporation CRD: 22310 | - | 0 | 0 | A | INACTIVE |
| Olio Financial Planning CRD: 282355 | - | 0 | 11 | - | Unknown |
| Olistico Wealth, LLC CRD: 315028 | - | 0 | 1 | - | Unknown |
| Oliva Partners Management LLC CRD: 316451 | - | 0 | 0 | - | Unknown |
| Olivar & Greb Capital Management, LLC CRD: 285905 | - | 0 | 1 | - | Unknown |
| Olive Branch Capital, LLC CRD: 302094 | - | 0 | 2 | - | Unknown |
| Olive Capital CRD: 322767 | - | 0 | 1 | - | Unknown |