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 |
|---|---|---|---|---|---|
| Opportune Partners LLC CRD: 293414 | TX | 0 | 2 | A | Active |
| Opportunity Cost Investors LLC CRD: 316066 | - | 0 | 2 | - | Unknown |
| Opportunity Finance Network CRD: 299901 | - | 0 | 0 | - | Unknown |
| Opportunity Investment Group, LLC CRD: 332696 | - | 0 | 1 | - | Unknown |
| Opportunus Wealth Management, LLC CRD: 300141 | - | 0 | 3 | - | Unknown |
| Oppvest, LLC CRD: 296317 | - | 0 | 1 | - | Unknown |
| OPR Investment Services, LLC CRD: 115502 | - | 0 | 1 | - | Unknown |
| Opsis Advisory Group CRD: 114240 | - | 0 | 1 | - | Unknown |
| Optas, LLC CRD: 299965 | - | 0 | 1 | - | Unknown |
| Optex Services LLC CRD: 47839 | - | 0 | 0 | A | INACTIVE |
| Opti Bloom Advisors LLC CRD: 299179 | - | 0 | 2 | - | Unknown |
| Opti Capital Management LP CRD: 292742 | - | 0 | 1 | - | Unknown |
| Optica Technology Group LLC CRD: 331372 | - | 0 | 1 | - | Unknown |
| Optifolio CRD: 115110 | - | 0 | 1 | - | Unknown |
| Optifour Integrated Wealth Management, LLC CRD: 115991 | - | 0 | 0 | - | Unknown |
| Optima Asset Management Inc CRD: 106095 | - | 0 | 1 | - | Unknown |
| Optima Asset Management LLC CRD: 299826 | - | 0 | 1 | - | Unknown |
| Optima Capital LLC CRD: 305513 | - | 0 | 0 | - | Unknown |
| Optima Capital LLC CRD: 310146 | - | 0 | 7 | - | Unknown |
| Optima Capital Management CRD: 132775 | - | 0 | 1 | - | Unknown |
| Optima Capital Management CRD: 306036 | - | 0 | 4 | - | Unknown |
| Optima Fund Management Limited Partnership CRD: 133988 | - | 0 | 0 | - | Unknown |
| Optima Fund Management LLC CRD: 105929 | - | 0 | 0 | - | Unknown |
| Optima Investment Management LLC CRD: 296769 | - | 0 | 0 | - | Unknown |
| Optima Securities LLC CRD: 168881 | - | 0 | 0 | A | INACTIVE |
| Optima Securities, Inc. CRD: 31135 | - | 0 | 0 | A | INACTIVE |
| Optima Securities, Ltd. CRD: 23755 | - | 0 | 0 | A | INACTIVE |
| Optima Trade & Investments, LLC CRD: 141381 | - | 0 | 1 | - | Unknown |
| Optimal AI Advisors LLC CRD: 298242 | - | 0 | 1 | - | Unknown |
| Optimal Asset Management, Inc. CRD: 165661 | - | 0 | 0 | - | Unknown |
| Optimal Capital Advisors, LLC CRD: 144719 | - | 0 | 1 | - | Unknown |
| Optimal Investment Performance, LLC CRD: 326155 | - | 0 | 1 | - | Unknown |
| Optimal Market Technologies, LLC CRD: 336439 | NY | 0 | 1 | A | Active |
| Optimal Planning LLC CRD: 283885 | - | 0 | 1 | - | Unknown |
| Optimal Portfolio, LLC CRD: 152462 | - | 0 | 0 | - | Unknown |
| Optimal TAX Asset Management CRD: 340466 | - | 0 | 1 | - | Unknown |
| Optimal Wealth CRD: 306120 | - | 0 | 1 | - | Unknown |
| Optimal Wealth Advisors, LLC CRD: 149602 | - | 0 | 1 | - | Unknown |
| Optimal Wealth Group, LLC CRD: 175180 | - | 0 | 0 | - | Unknown |
| Optimal Wealth Management, LLC CRD: 166830 | - | 0 | 0 | - | Unknown |
| Optimalpath Advisors, LLC CRD: 334673 | - | 0 | 1 | - | Unknown |
| Optimas Capital Limited CRD: 300686 | - | 0 | 0 | - | Unknown |
| Optimas Capital Management PTE. Ltd. CRD: 324625 | - | 0 | 0 | - | Unknown |
| Optimist Capital CRD: 292023 | - | 0 | 1 | - | Unknown |
| Optimist Retirement Group, LLC CRD: 119086 | - | 0 | 3 | - | Unknown |
| Optimist Ventures LLC CRD: 337808 | - | 0 | 1 | - | Unknown |
| Optimize Advisors LLC CRD: 315717 | - | 0 | 0 | - | Unknown |
| Optimize Financial Inc. CRD: 315963 | - | 0 | 1 | - | Unknown |
| Optimize Investment Partners CRD: 335775 | - | 0 | 0 | - | Unknown |
| Optimize Wealth Management CRD: 333695 | - | 0 | 0 | - | Unknown |