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 |
|---|---|---|---|---|---|
| Ondo Capital Management LLC CRD: 325197 | - | 0 | 1 | - | Unknown |
| Ondra Partners LP CRD: 155106 | - | 0 | 0 | A | INACTIVE |
| ONE + ONE Wealth Management, LLC CRD: 310906 | - | 0 | 1 | - | Unknown |
| ONE 2800 Capital Advisors, LLC CRD: 304777 | IN | 0 | 2 | A | Active |
| ONE Across Capital, LLC CRD: 161034 | - | 0 | 1 | - | Unknown |
| ONE Advisory Partners, LLC CRD: 161614 | - | 0 | 6 | - | Unknown |
| ONE Advocate Group CRD: 270005 | - | 0 | 0 | - | Unknown |
| ONE Amherst Partners, LLC CRD: 152359 | MI | 0 | 2 | A | Active |
| ONE BOW River Advisers, LLC. CRD: 333311 | - | 0 | 1 | - | Unknown |
| ONE Brick Capital, LLC CRD: 300365 | - | 0 | 1 | - | Unknown |
| ONE Brick Planning & Consulting, LLC CRD: 277047 | - | 0 | 2 | - | Unknown |
| ONE Call Capital Group Limited CRD: 283344 | - | 0 | 0 | - | Unknown |
| ONE Capital Management, LLC CRD: 114861 | - | 0 | 38 | - | Unknown |
| ONE Capital Partners LLC CRD: 328939 | - | 0 | 0 | - | Unknown |
| ONE Charles Private Wealth CRD: 286635 | - | 0 | 2 | - | Unknown |
| ONE Charles Private Wealth, LLC CRD: 281121 | - | 0 | 0 | - | Unknown |
| ONE DAY in July LLC CRD: 284335 | - | 0 | 10 | - | Unknown |
| ONE DAY Wealth CRD: 296786 | - | 0 | 2 | - | Unknown |
| ONE DAY Wealth Management CRD: 330028 | - | 0 | 2 | - | Unknown |
| ONE Degree Advisors, Inc. CRD: 170392 | - | 0 | 3 | - | Unknown |
| ONE Degree Investment Management, LLC CRD: 320968 | - | 0 | 1 | - | Unknown |
| ONE Earth Capital Management LLC CRD: 171560 | - | 0 | 0 | - | Unknown |
| ONE East Capital Advisors, L.P. CRD: 161863 | - | 0 | 0 | - | Unknown |
| ONE FIN Capital Management LP CRD: 283490 | - | 0 | 1 | - | Unknown |
| ONE Financial Center Brokerage Inc. CRD: 41369 | - | 6 | 0 | D | INACTIVE |
| ONE Financial Design, LLC CRD: 324966 | - | 0 | 1 | - | Unknown |
| ONE Financial Securities, Inc. CRD: 16127 | - | 1 | 0 | B | INACTIVE |
| ONE Financial Securities, Ltd. CRD: 104282 | - | 4 | 0 | C | INACTIVE |
| ONE Fund Management S.A. CRD: 335382 | - | 0 | 0 | - | Unknown |
| ONE Funds, LLC CRD: 331689 | - | 0 | 1 | - | Unknown |
| ONE Growth Securities LLC CRD: 310890 | DE | 0 | 3 | A | Active |
| ONE Hopper Asset Management CRD: 168816 | - | 0 | 1 | - | Unknown |
| ONE Investment Management US LLC CRD: 323617 | - | 0 | 1 | - | Unknown |
| ONE Investments S.A.G.L. CRD: 338809 | - | 0 | 0 | - | Unknown |
| ONE Life Advisory CRD: 338319 | - | 0 | 1 | - | Unknown |
| ONE Life Financial Group, Inc. CRD: 281792 | - | 0 | 1 | - | Unknown |
| ONE Madison Group LLC CRD: 320876 | - | 0 | 1 | - | Unknown |
| ONE Market Securities CRD: 32112 | - | 0 | 0 | A | INACTIVE |
| ONE Mind CRD: 339107 | - | 0 | 1 | - | Unknown |
| ONE North Capital PTE Ltd CRD: 167627 | - | 0 | 0 | - | Unknown |
| ONE OAK CRD: 334282 | - | 0 | 1 | - | Unknown |
| ONE OAK Capital Management, LLC CRD: 170339 | - | 0 | 2 | - | Unknown |
| ONE OAK Private Wealth and Asset Management CRD: 298576 | - | 0 | 0 | - | Unknown |
| ONE on ONE Investments Inc CRD: 149748 | - | 0 | 0 | - | Unknown |
| ONE Orchard Equities, Inc. CRD: 42124 | - | 4 | 0 | C | INACTIVE |
| ONE Peak CRD: 309302 | - | 0 | 0 | - | Unknown |
| ONE Percent Capital Fund Management LLC CRD: 292024 | - | 0 | 0 | - | Unknown |
| ONE Point Nine Management, LLC CRD: 309145 | - | 0 | 0 | - | Unknown |
| ONE Point Seven Wealth CRD: 309173 | - | 0 | 0 | - | Unknown |
| ONE Providence Capital, LLC CRD: 138508 | - | 0 | 1 | - | Unknown |