Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Nuvama Financial Services Inc. CRD: 172455 | NY | 0 | 1 | A | Active |
| Nylife Securities LLC CRD: 5167 | NY | 20 | 2,345 | B | Active |
| O'toole Insurance & Securities CRD: 5120 | NY | 2 | 2 | B | Active |
| Oaklins DP LLC CRD: 124988 | NY | 0 | 2 | A | Active |
| Oberon Securities, LLC CRD: 132598 | NY | 0 | 2 | A | Active |
| Obex Securities LLC CRD: 120002 | NY | 0 | 2 | A | Active |
| Oceanus Securities, LLC CRD: 133798 | NY | 0 | 2 | A | Active |
| Octaura Securities CRD: 321877 | NY | 0 | 2 | A | Active |
| Oddo BHF NEW York Corporation CRD: 45104 | NY | 1 | 2 | B | Active |
| Odeon Capital Group LLC CRD: 148493 | NY | 5 | 3 | B | Active |
| Ohanae Securities LLC CRD: 304656 | NY | 0 | 2 | A | Active |
| OLD City Securities LLC CRD: 171910 | NY | 0 | 3 | A | Active |
| Oldfield Capital Group LLC CRD: 159498 | NY | 0 | 2 | A | Active |
| Omnicap, LLC CRD: 137353 | NY | 0 | 2 | A | Active |
| ONE Vanderbilt Securities LLC CRD: 332860 | NY | 0 | 2 | A | Active |
| Onechronos CRD: 286322 | NY | 0 | 2 | A | Active |
| Onesource FI LLC CRD: 310933 | NY | 0 | 2 | A | Active |
| Opal Securities, Inc. CRD: 8246 | NY | 0 | 3 | A | Active |
| Open to the Public Investing, Inc. CRD: 127818 | NY | 4 | 2 | B | Active |
| Opendeal Broker LLC CRD: 291387 | NY | 0 | 2 | A | Active |
| Openyield Trading LLC CRD: 326199 | NY | 0 | 2 | A | Active |
| Opes Bespoke Securities LLC CRD: 129841 | NY | 3 | 1 | C | Active |
| Oppenheimer & Co. Inc. CRD: 249 | NY | 284 | 630 | C | Active |
| Optimal Market Technologies, LLC CRD: 336439 | NY | 0 | 1 | A | Active |
| ORE CAP Advisors L.L.C. CRD: 328604 | NY | 0 | 2 | A | Active |
| Ortex Securities LLC CRD: 322213 | NY | 0 | 1 | A | Active |
| Oscar Gruss & SON Incorporated CRD: 2091 | NY | 31 | 3 | D | Active |
| OTC Link LLC CRD: 153944 | NY | 1 | 2 | B | Active |
| Outset Global Trading Limited CRD: 281065 | NY | 1 | 5 | B | Active |
| Pacific Alliance Associates LLC CRD: 148938 | NY | 1 | 2 | B | Active |
| Pacific Century Securities, LLC CRD: 131607 | NY | 0 | 2 | A | Active |
| Palico LLC CRD: 15960 | NY | 0 | 1 | A | Active |
| Palladium Capital Group, LLC CRD: 129400 | NY | 1 | 3 | B | Active |
| Panmure Liberum Inc CRD: 148135 | NY | 0 | 2 | A | Active |
| Pantheon Securities, LLC CRD: 285480 | NY | 0 | 4 | A | Active |
| Papamarkou Wellner & Co., Inc. CRD: 10963 | NY | 1 | 2 | B | Active |
| Paramax Securities, LLC CRD: 147374 | NY | 0 | 3 | A | Active |
| Pareto Securities Inc. CRD: 44734 | NY | 2 | 2 | B | Active |
| Park Avenue Securities LLC CRD: 46173 | NY | 23 | 1,317 | B | Active |
| Park Madison Partners LLC CRD: 140016 | NY | 0 | 4 | A | Active |
| Parx Trading, LLC CRD: 329378 | NY | 0 | 2 | A | Active |
| Pave Securities, LLC CRD: 324533 | NY | 0 | 2 | A | Active |
| PCA Capital Securities, LLC CRD: 132654 | NY | 0 | 2 | A | Active |
| Percent Securities, LLC CRD: 314782 | NY | 1 | 2 | B | Active |
| Perella Weinberg Partners LP CRD: 138618 | NY | 2 | 9 | C | Active |
| Peritus Capital, LLC CRD: 310736 | NY | 0 | 1 | A | Active |
| Pharus Securities, LLC CRD: 148002 | NY | 0 | 2 | A | Active |
| PHX Financial, Inc. CRD: 144403 | NY | 6 | 7 | B | Active |
| Pickwick Capital Partners, LLC CRD: 130672 | NY | 0 | 11 | A | Active |
| Pimco Investments LLC CRD: 154957 | NY | 0 | 10 | A | Active |