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 |
|---|---|---|---|---|---|
| Owlcrest Partners LLC CRD: 304978 | - | 0 | 1 | - | Unknown |
| Owlfa LLC CRD: 284567 | - | 0 | 0 | - | Unknown |
| Owlfi CRD: 311854 | - | 0 | 0 | - | Unknown |
| Owlhouse Capital LP CRD: 328210 | - | 0 | 1 | - | Unknown |
| Owls Nest Partners CRD: 289811 | - | 0 | 3 | - | Unknown |
| Owlsense Wealth & Legacy Advisors LLC CRD: 330627 | - | 0 | 1 | - | Unknown |
| Owlshares CRD: 283848 | - | 0 | 0 | - | Unknown |
| Owner Resource Group, LLC CRD: 164028 | - | 0 | 1 | - | Unknown |
| Ownership Advisors, Inc. CRD: 109801 | - | 0 | 0 | - | Unknown |
| Ownership Capital CRD: 283247 | - | 0 | 0 | - | Unknown |
| Ownla LLC CRD: 300958 | - | 0 | 0 | - | Unknown |
| OWR Equity Corp. CRD: 36763 | - | 0 | 0 | A | INACTIVE |
| Owtur Investment Advisors, LLC CRD: 323349 | - | 0 | 2 | - | Unknown |
| OX LUX Advisory LLC CRD: 338878 | - | 0 | 1 | - | Unknown |
| OX Trading, LLC CRD: 145131 | - | 1 | 0 | B | INACTIVE |
| OX Trading, LLC CRD: 154667 | - | 4 | 0 | C | INACTIVE |
| Oxbow Advisors, LLC CRD: 156393 | - | 0 | 6 | - | Unknown |
| Oxbow Capital Management (HK) Limited CRD: 281481 | - | 0 | 0 | - | Unknown |
| Oxdrawn Capital, LLC CRD: 333855 | - | 0 | 1 | - | Unknown |
| Oxenfree Financial CRD: 327105 | - | 0 | 2 | - | Unknown |
| Oxford Asset Management CRD: 136937 | - | 0 | 0 | - | Unknown |
| Oxford Asset Management, LLC CRD: 114571 | - | 0 | 0 | - | Unknown |
| Oxford Bioscience III Corporation CRD: 161797 | - | 0 | 0 | - | Unknown |
| Oxford Bioscience IV Corporation CRD: 293183 | - | 0 | 0 | - | Unknown |
| Oxford Bioscience V Corporation CRD: 291336 | - | 0 | 0 | - | Unknown |
| Oxford Bridge Management, LLC CRD: 281922 | - | 0 | 0 | - | Unknown |
| Oxford Capital CRD: 333156 | - | 0 | 1 | - | Unknown |
| Oxford Capital Groupe CRD: 130172 | - | 0 | 0 | - | Unknown |
| Oxford Capital Management CRD: 118359 | - | 0 | 2 | - | Unknown |
| Oxford Capital Securities CRD: 47292 | - | 1 | 0 | B | INACTIVE |
| Oxford Capital Securities, Inc. CRD: 19568 | - | 0 | 0 | A | INACTIVE |
| Oxford Capital, LLC CRD: 166637 | - | 0 | 0 | A | INACTIVE |
| Oxford Chase Advisors LLC CRD: 169050 | - | 0 | 3 | - | Unknown |
| Oxford Equities Group, Inc. CRD: 17624 | - | 0 | 0 | A | INACTIVE |
| Oxford Finance Advisors, LLC CRD: 304433 | - | 0 | 1 | - | Unknown |
| Oxford Financial Advisors, Inc. CRD: 300482 | - | 0 | 0 | - | Unknown |
| Oxford Financial Group CRD: 40700 | - | 3 | 0 | C | INACTIVE |
| Oxford Financial Group, Ltd CRD: 105303 | - | 0 | 31 | - | Unknown |
| Oxford Financial Partners CRD: 282843 | - | 0 | 0 | - | Unknown |
| Oxford Financial Services Inc. CRD: 36428 | - | 0 | 0 | A | INACTIVE |
| Oxford Gate Management, LLC CRD: 297061 | - | 0 | 1 | - | Unknown |
| Oxford Harriman Private Wealth Management CRD: 340313 | - | 0 | 1 | - | Unknown |
| Oxford International Securities,Inc. CRD: 11019 | - | 0 | 0 | A | INACTIVE |
| Oxford Lane Management, LLC CRD: 154380 | - | 0 | 1 | - | Unknown |
| Oxford Martin, LLC CRD: 316388 | - | 0 | 1 | - | Unknown |
| Oxford Park Management, LLC CRD: 324383 | - | 0 | 1 | - | Unknown |
| Oxford Planning Group, LLC CRD: 286017 | - | 0 | 1 | - | Unknown |
| Oxford Real Estate Advisors Inc CRD: 107209 | - | 0 | 1 | - | Unknown |
| Oxford Securities Corporation CRD: 13903 | - | 0 | 0 | A | INACTIVE |
| Oxford Square Management, LLC CRD: 127888 | - | 0 | 1 | - | Unknown |