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 |
|---|---|---|---|---|---|
| Overlay Management, LLC CRD: 324401 | - | 0 | 1 | - | Unknown |
| Overline CRD: 330638 | - | 0 | 1 | - | Unknown |
| Overlock Capital LLC CRD: 330427 | - | 0 | 0 | - | Unknown |
| Overlook Capital CRD: 341727 | - | 0 | 1 | - | Unknown |
| Overlook Capital LLC CRD: 139817 | - | 0 | 0 | A | INACTIVE |
| Overlook Investments L.P. CRD: 137931 | - | 0 | 0 | - | Unknown |
| Overlook Investments Limited CRD: 137926 | - | 0 | 0 | - | Unknown |
| Overlook Park Wealth, LLC CRD: 300955 | - | 0 | 1 | - | Unknown |
| Overlook Rock Asset Management LLC CRD: 290167 | - | 0 | 0 | - | Unknown |
| Overlook Ventures LLC CRD: 339028 | - | 0 | 1 | - | Unknown |
| Overlooked Opportunities CRD: 113806 | - | 0 | 0 | - | Unknown |
| Overmatch Ventures Management LLC CRD: 339489 | - | 0 | 1 | - | Unknown |
| Overridge Wealth Advisors CRD: 115009 | - | 0 | 4 | - | Unknown |
| Overseas Capital Management LLC CRD: 318243 | - | 0 | 0 | - | Unknown |
| Overseas Securities Company, Inc. CRD: 7835 | - | 0 | 0 | A | INACTIVE |
| Overshare CRD: 300372 | - | 0 | 2 | - | Unknown |
| Overson Advisory Group CRD: 165648 | - | 0 | 1 | - | Unknown |
| Oversubscribed Ventures CRD: 324514 | - | 0 | 1 | - | Unknown |
| Overthrust Securities, Inc. CRD: 13718 | - | 0 | 0 | A | INACTIVE |
| Overton Securities, LLC CRD: 288449 | - | 0 | 0 | A | INACTIVE |
| Overture Climate LLC CRD: 316885 | - | 0 | 1 | - | Unknown |
| Overture Securities LLC CRD: 132350 | - | 0 | 0 | A | INACTIVE |
| Overture Wealth Management CRD: 333613 | - | 0 | 1 | - | Unknown |
| Overwatch Advisors, LLC CRD: 316055 | - | 0 | 1 | - | Unknown |
| Overwatch Capital Advisors LLC CRD: 341636 | - | 0 | 1 | - | Unknown |
| Overwatch Investment Management, LLC CRD: 298883 | - | 0 | 0 | - | Unknown |
| Overwatch Management CRD: 323450 | - | 0 | 1 | - | Unknown |
| Overwater Ventures LLC CRD: 317227 | - | 0 | 1 | - | Unknown |
| Ovington Advisors, LLC CRD: 292737 | - | 0 | 0 | - | Unknown |
| Ovington Asset Management, LLC CRD: 297633 | - | 0 | 0 | - | Unknown |
| Ovington Asset Management, LLC CRD: 322017 | - | 0 | 0 | - | Unknown |
| Ovis Capital, LLC CRD: 281381 | - | 0 | 1 | - | Unknown |
| OVN Capital LLC CRD: 312941 | - | 0 | 1 | - | Unknown |
| OVO Manager LLC CRD: 174867 | - | 0 | 1 | - | Unknown |
| OVP Management Co., LLC CRD: 312970 | - | 0 | 1 | - | Unknown |
| Owen Consulting & Financial Services, Inc. CRD: 172502 | - | 0 | 0 | - | Unknown |
| Owen Financial Planning, LLC CRD: 291749 | - | 0 | 0 | - | Unknown |
| Owen Larue Financial Group CRD: 289436 | - | 0 | 5 | - | Unknown |
| Owen-Joseph Securities, Inc. CRD: 37106 | - | 1 | 0 | B | INACTIVE |
| Owens Equities of North America, Ltd. CRD: 10314 | - | 0 | 0 | A | INACTIVE |
| Owens Financial Inc. CRD: 120811 | - | 0 | 0 | - | Unknown |
| Owens Investment Advisors LLC CRD: 298900 | - | 0 | 1 | - | Unknown |
| Owens Securities Corp. CRD: 23342 | - | 1 | 0 | B | INACTIVE |
| Owens, James CRD: 127130 | - | 0 | 0 | - | Unknown |
| Owenwise Financial LLC CRD: 156481 | - | 0 | 1 | - | Unknown |
| OWL and ORE Wealth Planning CRD: 283734 | - | 0 | 1 | - | Unknown |
| OWL Creek Asset Management Marketing, LLC CRD: 38008 | - | 0 | 0 | A | INACTIVE |
| OWL Creek Asset Management, L.P. CRD: 139371 | - | 0 | 1 | - | Unknown |
| OWL Creek Wealth Partners CRD: 331850 | - | 0 | 1 | - | Unknown |
| OWL Ventures CRD: 172513 | - | 0 | 1 | - | Unknown |