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 |
|---|---|---|---|---|---|
| Onpoint Financial Retirement LLC CRD: 171284 | - | 0 | 0 | - | Unknown |
| Onpoint Financial Retirement LLC CRD: 292195 | - | 0 | 0 | - | Unknown |
| Onpointe Advisory and Financial Services, LLC CRD: 162143 | - | 0 | 0 | - | Unknown |
| Onqix Securities LLC CRD: 324321 | - | 0 | 0 | A | INACTIVE |
| Onroute Financial CRD: 292834 | - | 0 | 1 | - | Unknown |
| Onset Ventures CRD: 159305 | - | 0 | 0 | - | Unknown |
| Onsight Capital Management LLC CRD: 287643 | - | 0 | 0 | - | Unknown |
| Onslow Capital Management Limited CRD: 156725 | - | 0 | 0 | - | Unknown |
| Ontario Capital Management, Inc. CRD: 10778 | - | 0 | 0 | A | INACTIVE |
| Onthree Fund Subsidiary, LLC CRD: 150503 | - | 1 | 0 | B | INACTIVE |
| Onthree Management, LLC CRD: 154368 | - | 0 | 0 | - | Unknown |
| Ontrack Wealth Management CRD: 311374 | - | 0 | 2 | - | Unknown |
| Ontrak Advisors Inc CRD: 304654 | - | 0 | 0 | - | Unknown |
| Onus Financial LLC CRD: 300120 | - | 0 | 2 | - | Unknown |
| Onus Observer LLC CRD: 312663 | - | 0 | 1 | - | Unknown |
| Onvest LLC CRD: 281910 | - | 0 | 0 | - | Unknown |
| Onward Advisors LLC CRD: 316214 | - | 0 | 1 | - | Unknown |
| Onward FI, LLC CRD: 326824 | - | 0 | 1 | - | Unknown |
| Onward Financial Advising LLC CRD: 329602 | - | 0 | 1 | - | Unknown |
| Onward Investors CRD: 335825 | - | 0 | 1 | - | Unknown |
| Onyx Bridge Wealth Group LLC CRD: 306097 | - | 0 | 15 | - | Unknown |
| Onyx Equity Management CRD: 165745 | - | 0 | 0 | - | Unknown |
| Onyx Equity Management Latin America Ltd CRD: 170890 | - | 0 | 0 | - | Unknown |
| Onyx Financial Advisors, LLC CRD: 134881 | - | 0 | 1 | - | Unknown |
| Onyx Investments, Inc. CRD: 133244 | - | 0 | 1 | - | Unknown |
| Onyx Partners, Incorporated CRD: 29474 | NV | 0 | 3 | A | Active |
| Onyx Trading Corporation CRD: 39881 | - | 0 | 0 | A | INACTIVE |
| Onyx Wealth Management LLC CRD: 285367 | - | 0 | 0 | - | Unknown |
| Onyx Wealth Management LLC CRD: 331330 | - | 0 | 1 | - | Unknown |
| Onyx Wealth Management, LLC CRD: 332972 | - | 0 | 1 | - | Unknown |
| Onyxpoint Global Management LP CRD: 288356 | - | 0 | 1 | - | Unknown |
| Onyxx Investment Group, Inc. CRD: 284322 | - | 0 | 1 | - | Unknown |
| Ooda Quantum Capital, LLC CRD: 339749 | - | 0 | 3 | - | Unknown |
| Oori Capital LLC CRD: 340076 | - | 0 | 1 | - | Unknown |
| OP Crypto Capital Management Ltd. CRD: 319367 | - | 0 | 0 | - | Unknown |
| OP Investment GP LLC CRD: 306854 | - | 0 | 0 | - | Unknown |
| OP Investment LP CRD: 306861 | - | 0 | 0 | - | Unknown |
| OP Investment Management Limited CRD: 306356 | - | 0 | 0 | - | Unknown |
| OP Pref Equity Adviser, LLC CRD: 315211 | - | 0 | 1 | - | Unknown |
| Opal Advisors CRD: 164014 | - | 0 | 1 | - | Unknown |
| Opal Advisory LLC CRD: 306042 | - | 0 | 1 | - | Unknown |
| Opal Capital LLC CRD: 322755 | - | 0 | 2 | - | Unknown |
| Opal Capital Management CRD: 318909 | - | 0 | 0 | - | Unknown |
| Opal Securities, Inc. CRD: 8246 | NY | 0 | 3 | A | Active |
| Opal Venture Partners, LLC CRD: 326799 | - | 0 | 1 | - | Unknown |
| Opal Wealth Advisors, LLC CRD: 289759 | - | 0 | 4 | - | Unknown |
| Opal Wealth Management LLC CRD: 336331 | - | 0 | 0 | - | Unknown |
| Opalescent Capital Management, LLC CRD: 333102 | - | 0 | 1 | - | Unknown |
| Opaleye Management Inc. CRD: 124513 | - | 0 | 1 | - | Unknown |
| Opamp Capital Management, LLC CRD: 317636 | - | 0 | 1 | - | Unknown |