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 |
|---|---|---|---|---|---|
| Oswin Asset Management Limited CRD: 305967 | - | 0 | 0 | - | Unknown |
| OT Advisors LLC CRD: 328812 | - | 0 | 1 | - | Unknown |
| OT Management, LLC CRD: 284192 | - | 0 | 1 | - | Unknown |
| OT Research CRD: 299086 | - | 0 | 1 | - | Unknown |
| OT: Optimized Transitions, Independent Investment … CRD: 171645 | - | 0 | 0 | - | Unknown |
| OTA LLC CRD: 25816 | - | 21 | 0 | F | INACTIVE |
| Otay Village 8 Manager, LLC CRD: 305641 | - | 0 | 0 | - | Unknown |
| Otay Village III Manager, LLC CRD: 298534 | - | 0 | 0 | - | Unknown |
| OTC Link LLC CRD: 153944 | NY | 1 | 2 | B | Active |
| Otcex, LLC CRD: 165046 | - | 0 | 0 | A | INACTIVE |
| OTG Asset Management, Ltd. CRD: 309729 | - | 0 | 0 | - | Unknown |
| Other Fund Partners LLC CRD: 277096 | - | 0 | 1 | - | Unknown |
| Other People's Capital CRD: 328710 | - | 0 | 0 | - | Unknown |
| Other Side Asset Management, LLC CRD: 291263 | - | 0 | 1 | - | Unknown |
| Otherwise Fund Management, LLC CRD: 300047 | - | 0 | 1 | - | Unknown |
| Othniel Financial Advisory Services, LLC CRD: 285376 | - | 0 | 3 | - | Unknown |
| Otium Advisory Group, LLC CRD: 285173 | - | 0 | 2 | - | Unknown |
| Otium Financial CRD: 311588 | - | 0 | 0 | - | Unknown |
| Otium Wealth Management CRD: 340157 | - | 0 | 1 | - | Unknown |
| Otkritie Capital U.S. Inc. CRD: 155187 | - | 0 | 0 | A | INACTIVE |
| Otlet Capital Management LP CRD: 289014 | - | 0 | 0 | - | Unknown |
| OTR Global LLC CRD: 123809 | - | 0 | 4 | - | Unknown |
| OTR Global Trading LLC CRD: 138116 | - | 2 | 0 | B | INACTIVE |
| Otro Capital CRD: 327232 | - | 0 | 1 | - | Unknown |
| OTS Capital Management Limited CRD: 270027 | - | 0 | 0 | - | Unknown |
| OTT Family Holding CRD: 339247 | - | 0 | 1 | - | Unknown |
| Ottaviano & Associates, LLC CRD: 152978 | - | 0 | 0 | - | Unknown |
| Otter Capital LLC CRD: 163754 | - | 0 | 1 | - | Unknown |
| Otter Creek Advisors, LLC CRD: 171402 | - | 0 | 0 | - | Unknown |
| Otter Creek Management, Inc. CRD: 127397 | - | 0 | 0 | - | Unknown |
| Otter Creek Partners CRD: 125591 | - | 0 | 0 | - | Unknown |
| Otter Rock Advisors LP CRD: 338160 | - | 0 | 1 | - | Unknown |
| Otto & Associates, Inc. CRD: 109493 | - | 0 | 2 | - | Unknown |
| Otto Capital Management CRD: 134934 | - | 0 | 0 | - | Unknown |
| Otus Capital Management Limited CRD: 284879 | - | 0 | 0 | - | Unknown |
| Ouellette Wealth Advisory LLC CRD: 289242 | - | 0 | 1 | - | Unknown |
| OUI Capital Management Company, LLC CRD: 318647 | - | 0 | 0 | - | Unknown |
| OUP Management Co., LLC CRD: 312857 | - | 0 | 1 | - | Unknown |
| OUR Family Financial CRD: 291882 | - | 0 | 0 | - | Unknown |
| OUR House Wealth Advisors CRD: 301422 | - | 0 | 0 | - | Unknown |
| OUR Investment GUY CRD: 337411 | - | 0 | 1 | - | Unknown |
| Ouray Capital Advisors LP CRD: 284062 | - | 0 | 0 | - | Unknown |
| Ourcrowd CRD: 169475 | - | 0 | 0 | - | Unknown |
| OUT of the Office Planning CRD: 312060 | - | 0 | 0 | - | Unknown |
| Outbound Financial CRD: 287697 | - | 0 | 1 | - | Unknown |
| Outcast Ventures, LLC CRD: 339350 | - | 0 | 1 | - | Unknown |
| Outcome Capital, LLC CRD: 100960 | MA | 0 | 3 | A | Active |
| Outcome Driven Strategies, LLC CRD: 311398 | - | 0 | 4 | - | Unknown |
| Outer Islands Capital Management, L.L.C. CRD: 171142 | - | 0 | 0 | - | Unknown |
| Outer Islands Capital Management, L.L.C. CRD: 313925 | - | 0 | 0 | - | Unknown |