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 |
|---|---|---|---|---|---|
| Optivest, Inc. CRD: 137070 | - | 0 | 1 | - | Unknown |
| Optivise Advisory Services LLC CRD: 301764 | - | 0 | 22 | - | Unknown |
| Opto Investment Management, LLC CRD: 316847 | - | 0 | 1 | - | Unknown |
| Optometry Wealth Advisors LLC CRD: 317286 | - | 0 | 1 | - | Unknown |
| Optsecurities, LLC CRD: 47529 | NC | 0 | 2 | A | Active |
| Optum Ventures CRD: 290116 | - | 0 | 1 | - | Unknown |
| Optura Advisors, Inc. CRD: 175424 | - | 0 | 1 | - | Unknown |
| Optvest Capital CRD: 342081 | - | 0 | 1 | - | Unknown |
| Opulen Financial Group, LLC CRD: 173963 | - | 0 | 2 | - | Unknown |
| Opulence Planning CRD: 318104 | - | 0 | 1 | - | Unknown |
| Opulent Ascension Wealth Management CRD: 324754 | - | 0 | 0 | - | Unknown |
| Opulent Strategies, LLC CRD: 126837 | - | 0 | 2 | - | Unknown |
| Opulent Wealth CRD: 332007 | - | 0 | 1 | - | Unknown |
| Opulentia, LLC CRD: 314197 | - | 0 | 2 | - | Unknown |
| Opulus CRD: 304763 | - | 0 | 1 | - | Unknown |
| Opus Advisors CRD: 342708 | - | 0 | 1 | - | Unknown |
| Opus Capital Group LLC CRD: 160159 | - | 0 | 1 | - | Unknown |
| Opus Capital Group, Inc. CRD: 8428 | - | 0 | 0 | A | INACTIVE |
| Opus Capital Management CRD: 106528 | - | 0 | 1 | - | Unknown |
| Opus Financial Advisors, Inc. CRD: 118742 | - | 0 | 3 | - | Unknown |
| Opus Financial LLC CRD: 334279 | - | 0 | 1 | - | Unknown |
| Opus Financial Partners, LLC CRD: 172146 | - | 0 | 0 | A | INACTIVE |
| Opus Financial Solutions LLC CRD: 282311 | - | 0 | 3 | - | Unknown |
| Opus Investment Advisors, LLC CRD: 122345 | - | 0 | 1 | - | Unknown |
| Opus Investment Management LLC CRD: 163262 | - | 0 | 1 | - | Unknown |
| Opus Investment Management, Inc. CRD: 107569 | - | 0 | 0 | - | Unknown |
| Opus Investments CRD: 125187 | - | 0 | 0 | - | Unknown |
| Opus Point & Co., LLC CRD: 150077 | - | 0 | 0 | A | INACTIVE |
| Opus Point Partners Management, LLC CRD: 161996 | - | 0 | 0 | - | Unknown |
| Opus Private Wealth Group, LLC CRD: 171317 | - | 0 | 2 | - | Unknown |
| Opus Trading Fund LLC CRD: 125204 | - | 0 | 0 | A | INACTIVE |
| Opus Wealth Management Group CRD: 176525 | - | 0 | 0 | - | Unknown |
| OPV Partners CRD: 327419 | - | 0 | 0 | - | Unknown |
| OQ Funds Management CRD: 326070 | - | 0 | 0 | - | Unknown |
| Oqulent, LLC CRD: 285259 | - | 0 | 0 | - | Unknown |
| Oracle Alpha Inc CRD: 326267 | - | 0 | 0 | - | Unknown |
| Oracle Capital Securities, LLC CRD: 145868 | - | 0 | 0 | A | INACTIVE |
| Oracle Financial Group CRD: 136750 | - | 0 | 2 | - | Unknown |
| Oracle Investment Management, Inc. CRD: 138127 | - | 0 | 0 | - | Unknown |
| Oracle Portfolio Management CRD: 125375 | - | 0 | 0 | - | Unknown |
| Oraclum Capital Management LLC CRD: 338773 | - | 0 | 1 | - | Unknown |
| Orama Securities, Inc. CRD: 47733 | - | 0 | 0 | A | INACTIVE |
| Orange Avenue Advisors LLC CRD: 339327 | - | 0 | 1 | - | Unknown |
| Orange Capital Management, Inc. CRD: 137019 | - | 0 | 3 | - | Unknown |
| Orange Capital Ventures, LP CRD: 292226 | - | 0 | 1 | - | Unknown |
| Orange Capital, LLC CRD: 159706 | - | 0 | 0 | - | Unknown |
| Orange Collective Management LLC CRD: 335151 | - | 0 | 1 | - | Unknown |
| Orange County Asset Management CRD: 170863 | - | 0 | 1 | - | Unknown |
| Orange DAO CRD: 333224 | - | 0 | 1 | - | Unknown |
| Orange Fund Advisors, LLC CRD: 320647 | - | 0 | 0 | - | Unknown |