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 |
|---|---|---|---|---|---|
| Opensky Ventures Management Company, LLC CRD: 322211 | - | 0 | 1 | - | Unknown |
| Openspace Ventures CRD: 297387 | - | 0 | 0 | - | Unknown |
| Openvest CRD: 328152 | - | 0 | 1 | - | Unknown |
| Openview Advisors, LLC CRD: 316766 | - | 0 | 1 | - | Unknown |
| Openview Investments, LLC CRD: 162558 | - | 0 | 0 | - | Unknown |
| Openwater Ventures Management, LLC CRD: 318959 | - | 0 | 1 | - | Unknown |
| Openwealth Services, LLC CRD: 284300 | - | 0 | 0 | - | Unknown |
| Openx Markets, LLC CRD: 154903 | - | 0 | 0 | A | INACTIVE |
| Openyield Trading LLC CRD: 326199 | NY | 0 | 2 | A | Active |
| Opera CRD: 319404 | - | 0 | 0 | - | Unknown |
| Operating Capital Management LLC CRD: 289233 | - | 0 | 1 | - | Unknown |
| Operative Capital Management, LLC CRD: 174055 | - | 0 | 0 | - | Unknown |
| Operator Collective Management, L.L.C. CRD: 304960 | - | 0 | 1 | - | Unknown |
| Operator Stack Management LLC CRD: 322980 | - | 0 | 0 | - | Unknown |
| Operator Stack, LLC CRD: 318702 | - | 0 | 1 | - | Unknown |
| Operators Studio, LLC CRD: 332245 | - | 0 | 1 | - | Unknown |
| Operon Ventures LLC CRD: 202515 | - | 0 | 0 | - | Unknown |
| Operose Advisors LLC CRD: 287465 | - | 0 | 1 | - | Unknown |
| Opes Advisors, Inc. CRD: 132996 | - | 0 | 0 | - | Unknown |
| Opes Bespoke Securities LLC CRD: 129841 | NY | 3 | 1 | C | Active |
| Opes Capital Group, LLC CRD: 166106 | - | 0 | 2 | - | Unknown |
| Opes MVB Capital, LLC CRD: 325623 | - | 0 | 2 | - | Unknown |
| Opes Wealth Management, LLC CRD: 299704 | - | 0 | 5 | - | Unknown |
| Opesbridge Capital LLC CRD: 169268 | - | 0 | 0 | - | Unknown |
| Opex Capital Management, LLC CRD: 164786 | - | 0 | 0 | - | Unknown |
| Ophir Asset Management US LLC CRD: 312619 | - | 0 | 1 | - | Unknown |
| Ophir Partners LLC CRD: 164729 | - | 0 | 0 | - | Unknown |
| Ophirus Trading Management LLC CRD: 313306 | - | 0 | 0 | - | Unknown |
| Opine Financial Advisors CRD: 128091 | - | 0 | 1 | - | Unknown |
| Opinicus CRD: 168344 | - | 0 | 1 | - | Unknown |
| Opis Advisors, Inc. CRD: 134349 | - | 0 | 0 | - | Unknown |
| OPL Securities, LLC CRD: 120853 | - | 1 | 0 | B | INACTIVE |
| Opoc Broker-Dealer, LLC CRD: 298311 | OH | 0 | 1 | A | Active |
| OPP Capital Advisors CRD: 324714 | - | 0 | 1 | - | Unknown |
| OPP Wealth Advisory LLC CRD: 333505 | - | 0 | 2 | - | Unknown |
| Oppenheim & Co. Limited CRD: 226709 | - | 0 | 0 | - | Unknown |
| Oppenheim Rayiys LLC CRD: 339507 | - | 0 | 1 | - | Unknown |
| Oppenheimer & Close, Inc. CRD: 15168 | - | 0 | 3 | A | INACTIVE |
| Oppenheimer & Co. Inc. CRD: 249 | NY | 284 | 630 | C | Active |
| Oppenheimer Alternative Investment Management, LLC CRD: 140485 | - | 0 | 1 | - | Unknown |
| Oppenheimer Asset Management CRD: 105559 | - | 0 | 4 | - | Unknown |
| Oppenheimer Asset Management Corporation CRD: 386 | - | 0 | 0 | A | INACTIVE |
| Oppenheimer Government Securities, Inc. CRD: 19715 | - | 0 | 0 | A | INACTIVE |
| Oppenheimer Investment Management LLC CRD: 133243 | - | 0 | 1 | - | Unknown |
| Oppenheimer, Noonan, Weiss LLC CRD: 39508 | - | 1 | 0 | B | INACTIVE |
| Oppenheimerfunds Distributor, Inc. CRD: 7834 | - | 6 | 0 | D | INACTIVE |
| Oppenheimerfunds Inc CRD: 104983 | - | 0 | 1 | - | Unknown |
| Oppjar CRD: 292855 | - | 0 | 0 | - | Unknown |
| Oppna Wealth LLC CRD: 336397 | - | 0 | 1 | - | Unknown |
| Oppoquest CRD: 166774 | - | 0 | 3 | - | Unknown |