Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| O'bannon & Davis Inc. CRD: 134005 | — | 0 | 1 | A | Unknown |
| O'brien & Shepard, Inc. CRD: 7152 | — | 2 | 0 | B | INACTIVE |
| O'brien and Associates, Inc. CRD: 115159 | — | 0 | 2 | A | Unknown |
| O'brien Associates CRD: 129993 | — | 0 | 0 | A | Unknown |
| O'brien, Mark Danial CRD: 34817 | — | 0 | 0 | A | INACTIVE |
| O'connor & Associates CRD: 8242 | — | 0 | 0 | A | INACTIVE |
| O'connor & O'connor, LLP CRD: 140493 | — | 0 | 0 | A | Unknown |
| O'connor Capital Advisory, LLC CRD: 152687 | — | 0 | 1 | A | Unknown |
| O'connor Investments CRD: 19724 | — | 0 | 0 | A | INACTIVE |
| O'connor Securities CRD: 17634 | — | 2 | 0 | B | INACTIVE |
| O'connor, Edmund Joseph CRD: 103903 | — | 0 | 0 | A | INACTIVE |
| O'connor, Paul & Phillips, Inc. CRD: 23360 | — | 0 | 0 | A | INACTIVE |
| O'cono/Trade,Inc. CRD: 14223 | — | 0 | 0 | A | INACTIVE |
| O'donnell, Lance Sunde CRD: 44437 | — | 0 | 0 | A | INACTIVE |
| O'donoghue, David Gerard CRD: 34060 | — | 0 | 0 | A | INACTIVE |
| O'ferrall Advisory Services CRD: 328962 | — | 0 | 1 | A | Unknown |
| O'grady Financial LLC CRD: 301894 | — | 0 | 1 | A | Unknown |
| O'H Capital LLC CRD: 324638 | — | 0 | 1 | A | Unknown |
| O'hagan Group, Inc. CRD: 315389 | — | 0 | 4 | A | Unknown |
| O'hara JR., Lewis Edward CRD: 121679 | — | 0 | 0 | A | Unknown |
| O'keefe Shaw & Co., Inc. CRD: 40820 | — | 2 | 0 | B | INACTIVE |
| O'keefe Stevens Advisory, Inc. CRD: 286338 | — | 0 | 2 | A | Unknown |
| O'neal Equities, Inc. CRD: 13548 | — | 0 | 0 | A | INACTIVE |
| O'neal, David Thomas CRD: 103913 | — | 0 | 0 | A | INACTIVE |
| O'neill, Daniel Francis CRD: 31711 | — | 0 | 0 | A | INACTIVE |
| O'reilly LLC CRD: 127558 | — | 0 | 0 | A | Unknown |
| O'rourke Financial CRD: 297726 | — | 0 | 1 | A | Unknown |
| O'rourke, Jerome Edward CRD: 40743 | — | 0 | 0 | A | INACTIVE |
| O-CAP Management, L.P. CRD: 162432 | — | 0 | 0 | A | Unknown |
| O. H. Ashley & Co., Inc. CRD: 7173 | — | 0 | 0 | A | INACTIVE |
| O. R. Securities, Inc. CRD: 10216 | — | 0 | 0 | A | INACTIVE |
| O.F.O. Partners, LLC CRD: 297424 | — | 0 | 1 | A | Unknown |
| O.S.S. Capital Management LP CRD: 151841 | — | 0 | 0 | A | Unknown |
| O.V. Davi CRD: 111367 | — | 0 | 1 | A | Unknown |
| O2 Investment Partners, L.P. CRD: 291435 | — | 0 | 1 | A | Unknown |
| O2 Investments LLC CRD: 337334 | — | 0 | 1 | A | Unknown |
| O2Funds CRD: 305756 | — | 0 | 0 | A | Unknown |
| OA Private Capital CRD: 282516 | — | 0 | 1 | A | Unknown |
| Oade Financial CRD: 299969 | — | 0 | 1 | A | Unknown |
| Oagh CRD: 281282 | — | 0 | 1 | A | Unknown |
| OAK Advisors, LLC CRD: 137192 | — | 0 | 1 | A | Unknown |
| OAK Associates Ltd CRD: 108874 | — | 0 | 2 | A | Unknown |
| OAK BAY Financial, LLC CRD: 339012 | — | 0 | 1 | A | Unknown |
| OAK Brook Advisors Ltd CRD: 118151 | — | 0 | 4 | A | Unknown |
| OAK Brook Securities Corp. CRD: 16886 | — | 3 | 0 | C | INACTIVE |
| OAK Capital Advisors CRD: 161316 | — | 0 | 1 | A | Unknown |
| OAK Crest Advisory, LLC CRD: 304255 | — | 0 | 1 | A | Unknown |
| OAK Financial Corporation CRD: 24380 | — | 0 | 0 | A | INACTIVE |
| OAK Grove Capital, LLC CRD: 165465 | — | 0 | 2 | A | Unknown |
| OAK Harbor Capital, LLC CRD: 169089 | — | 0 | 1 | A | Unknown |