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 |
|---|---|---|---|---|---|
| Oxford Wealth Group, LLC CRD: 319561 | - | 0 | 2 | - | Unknown |
| Oxford Wealth Management CRD: 332725 | - | 0 | 1 | - | Unknown |
| Oxinas Partners Wealth Management CRD: 297462 | - | 0 | 4 | - | Unknown |
| Oxler Private Wealth CRD: 309684 | - | 0 | 8 | - | Unknown |
| Oxley Capital Management, LLC CRD: 293174 | - | 0 | 1 | - | Unknown |
| Oxley Wealth Management, LLC CRD: 298238 | - | 0 | 0 | - | Unknown |
| Oxshott Capital Partners LLC CRD: 321956 | - | 0 | 1 | - | Unknown |
| Oxus Capital Management LLC CRD: 297075 | - | 0 | 0 | - | Unknown |
| Oxwater Capital Management CRD: 325009 | - | 0 | 1 | - | Unknown |
| Oxwater Capital Management LLC CRD: 288454 | - | 0 | 0 | - | Unknown |
| Oxygen Venture Partners LLC CRD: 327284 | - | 0 | 0 | - | Unknown |
| Oxylus Capital Ltd CRD: 313054 | - | 0 | 0 | - | Unknown |
| OY Sirius Capital Partners AB CRD: 269928 | - | 0 | 0 | - | Unknown |
| Oyster Angel Fund I GP, LLC CRD: 174175 | - | 0 | 1 | - | Unknown |
| Oyster Creek Capital CRD: 339119 | - | 0 | 1 | - | Unknown |
| Oyster Point Asset Consulting, Inc. CRD: 124071 | - | 0 | 0 | - | Unknown |
| Oyster River Financial, LLC CRD: 297278 | - | 0 | 0 | - | Unknown |
| Oyster Ventures, LLC CRD: 319254 | - | 0 | 1 | - | Unknown |
| OZ Institutional Credit Management LP CRD: 174352 | - | 0 | 0 | - | Unknown |
| OZ Wealth Management LLC CRD: 307303 | - | 0 | 1 | - | Unknown |
| OZE Capital LLC CRD: 327276 | - | 0 | 1 | - | Unknown |
| Ozga, Thomas J CRD: 34524 | - | 0 | 0 | A | INACTIVE |
| P & G Exploration, Inc. CRD: 14301 | - | 0 | 0 | A | INACTIVE |
| P & L Advisors, LLC CRD: 188514 | - | 0 | 1 | - | Unknown |
| P & L Securities, Inc. CRD: 32593 | - | 0 | 0 | A | INACTIVE |
| P & M Corporate Finance, LLC CRD: 129624 | IL | 0 | 4 | A | Active |
| P & S Capital Management, L.P. CRD: 162317 | - | 0 | 0 | - | Unknown |
| P & S Credit Management, L.P. CRD: 158518 | - | 0 | 0 | - | Unknown |
| P and J Investment Ltd. CRD: 298752 | - | 0 | 0 | - | Unknown |
| P B Naybers, LLC CRD: 123207 | - | 0 | 0 | A | INACTIVE |
| P Capital Partners AB CRD: 172877 | - | 0 | 0 | - | Unknown |
| P Chan & Company CRD: 112945 | - | 0 | 0 | - | Unknown |
| P G Boole, LLC CRD: 137920 | MA | 0 | 2 | A | Active |
| P J Peter & Co. CRD: 6799 | - | 0 | 0 | A | INACTIVE |
| P Squared Wealth Planning LLC CRD: 305557 | - | 0 | 0 | - | Unknown |
| P&A Capital Advisors CRD: 111731 | - | 0 | 1 | - | Unknown |
| P&A Fund Management, Inc. CRD: 111730 | - | 0 | 0 | - | Unknown |
| P&L Family Wealth CRD: 341272 | - | 0 | 1 | - | Unknown |
| P&P Wealth Management LLC CRD: 158469 | - | 0 | 1 | - | Unknown |
| P. a. N. Securities, LP CRD: 104823 | CT | 1 | 2 | B | Active |
| P. B. Root and Company CRD: 3216 | - | 0 | 0 | A | INACTIVE |
| P. G. Earl Investment Advisers, L.L.C. CRD: 125271 | - | 0 | 2 | - | Unknown |
| P. J. Schmitt - Petroleum Investment Research Corp… CRD: 16311 | - | 0 | 0 | A | INACTIVE |
| P. Meerdink Financial LLC CRD: 307959 | - | 0 | 0 | - | Unknown |
| P. N. Becton & Company, Incorporated CRD: 7508 | - | 0 | 0 | A | INACTIVE |
| P. R. Herzig & Co. Inc. CRD: 2185 | - | 3 | 0 | C | INACTIVE |
| P. V. Anderson, Inc. CRD: 10326 | - | 0 | 0 | A | INACTIVE |
| P. Worldwide, LLC CRD: 159664 | - | 0 | 1 | - | Unknown |
| P.A. Berg Retirement Solutions CRD: 140317 | - | 0 | 1 | - | Unknown |
| P.A. Graver & Associates, Inc. CRD: 23309 | - | 0 | 0 | A | INACTIVE |