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 |
|---|---|---|---|---|---|
| Osborn Wealth Management CRD: 151446 | - | 0 | 0 | - | Unknown |
| Osborn Williams & Donohoe, LLC CRD: 160622 | - | 0 | 0 | - | Unknown |
| Osborne Capital Management CRD: 144394 | - | 0 | 1 | - | Unknown |
| Osborne Financial Planning & Equity Corporation CRD: 8396 | - | 0 | 0 | A | INACTIVE |
| Osborne Financial Planning LLC CRD: 311721 | - | 0 | 1 | - | Unknown |
| Osborne Global Investors, Inc. CRD: 129128 | - | 0 | 2 | - | Unknown |
| Osborne Partners CRD: 108100 | - | 0 | 3 | - | Unknown |
| Osborne, Stern & Company, Inc. CRD: 19879 | - | 0 | 0 | A | INACTIVE |
| Oscar Gruss & SON Incorporated CRD: 2091 | NY | 31 | 3 | D | Active |
| Oscar Mike Capital LLC CRD: 291346 | - | 0 | 0 | - | Unknown |
| Osceola Capital Management CRD: 301565 | - | 0 | 1 | - | Unknown |
| Oscher & Co, Inc CRD: 33271 | - | 0 | 0 | A | INACTIVE |
| OSE, Sample, LYNCH & Company CRD: 20000 | - | 0 | 0 | A | INACTIVE |
| Osgood & Associates, P.C. CRD: 117740 | - | 0 | 0 | - | Unknown |
| Osgood Capital Management, Inc. CRD: 314713 | - | 0 | 2 | - | Unknown |
| Osgood, Mark M CRD: 104216 | - | 0 | 0 | A | INACTIVE |
| Osher Capital Advisors, LLC CRD: 147412 | - | 0 | 1 | - | Unknown |
| Oshi Capital Management, LLC CRD: 156908 | - | 0 | 0 | - | Unknown |
| Oshima & Associates CRD: 10370 | - | 3 | 1 | C | INACTIVE |
| Osiris Partners LLC CRD: 163632 | - | 0 | 0 | - | Unknown |
| Osiwala Financial Group, LLC CRD: 124565 | - | 0 | 0 | - | Unknown |
| Oskie Capital Management, LLC CRD: 160242 | - | 0 | 0 | - | Unknown |
| Oslo Asset Management CRD: 163954 | - | 0 | 0 | - | Unknown |
| Osmium Partners, LLC CRD: 163789 | - | 0 | 0 | - | Unknown |
| Osmosis Investment Management US LLC CRD: 283049 | - | 0 | 0 | - | Unknown |
| Osotoro CRD: 284234 | - | 0 | 0 | - | Unknown |
| Osowsky Capital CRD: 164551 | - | 0 | 0 | - | Unknown |
| Ospraie Management, LLC CRD: 135782 | - | 0 | 0 | - | Unknown |
| Ospraie Management, LLC CRD: 305479 | - | 0 | 1 | - | Unknown |
| Osprey Capital Management Corp. CRD: 172524 | - | 0 | 1 | - | Unknown |
| Osprey Capital Management, LLC CRD: 151132 | - | 0 | 2 | - | Unknown |
| Osprey Investors (UK) LLP CRD: 340963 | - | 0 | 0 | - | Unknown |
| Osprey Investors Limited CRD: 335317 | - | 0 | 0 | - | Unknown |
| Osprey Money Management, LLC CRD: 135497 | - | 0 | 1 | - | Unknown |
| Osprey Partners LLC CRD: 38122 | - | 0 | 0 | A | INACTIVE |
| Osprey Private Wealth LLC CRD: 331295 | - | 0 | 1 | - | Unknown |
| Osprey Trading LLC CRD: 170605 | - | 0 | 0 | A | INACTIVE |
| Ospreycoast Funds, LLC CRD: 173838 | - | 0 | 0 | - | Unknown |
| Osrn Ltd CRD: 329283 | - | 0 | 0 | - | Unknown |
| OSS Capital, LLC CRD: 314805 | - | 0 | 1 | - | Unknown |
| Ossia IM CRD: 329936 | - | 0 | 1 | - | Unknown |
| Osterweis Capital Management CRD: 109580 | - | 0 | 1 | - | Unknown |
| Osterweis Capital Management CRD: 105421 | - | 0 | 1 | - | Unknown |
| Ostra Capital CRD: 161847 | - | 0 | 0 | - | Unknown |
| Ostrofe Financial Consultants Inc CRD: 110064 | - | 0 | 2 | - | Unknown |
| Ostrom & Associates CRD: 121305 | - | 0 | 1 | - | Unknown |
| Ostrum Asset Management U.S., LLC CRD: 171003 | - | 0 | 0 | - | Unknown |
| Oswald Financial Broker Dealer, Inc CRD: 156967 | - | 0 | 0 | A | INACTIVE |
| Oswego Private Wealth Management CRD: 317174 | - | 0 | 1 | - | Unknown |
| Oswego Wealth Management, Inc. CRD: 307378 | - | 0 | 0 | - | Unknown |