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 |
|---|---|---|---|---|---|
| OAK Hill Advisors, L.P. CRD: 125352 | — | 0 | 1 | A | Unknown |
| OAK Investments, LLC CRD: 331923 | — | 0 | 1 | A | Unknown |
| OAK Lane Advisors CRD: 140612 | — | 0 | 5 | A | Unknown |
| OAK Maple Finance, LLC CRD: 322908 | — | 0 | 1 | A | Unknown |
| OAK Mountain Advisors CRD: 168087 | — | 0 | 3 | A | Unknown |
| OAK Peak Financial CRD: 226668 | — | 0 | 1 | A | Unknown |
| OAK Quarry Management, LLC CRD: 316131 | — | 0 | 1 | A | Unknown |
| OAK Ridge Investments, Inc. CRD: 25544 | — | 4 | 0 | C | INACTIVE |
| OAK River Investments, Inc. CRD: 120118 | — | 1 | 0 | B | INACTIVE |
| OAK Root LLC CRD: 246788 | — | 0 | 2 | A | Unknown |
| OAK Securities, Inc. CRD: 10987 | — | 0 | 0 | A | INACTIVE |
| OAK Square Advisors CRD: 299591 | — | 0 | 0 | A | Unknown |
| OAK Street Advisors CRD: 139400 | — | 0 | 2 | A | Unknown |
| OAK Street Investments CRD: 288019 | — | 0 | 1 | A | Unknown |
| OAK Street Securities, Inc. CRD: 133591 | — | 1 | 0 | B | INACTIVE |
| OAK Trail Advisors CRD: 296842 | — | 0 | 0 | A | Unknown |
| Oakbourne Advisors CRD: 129112 | — | 0 | 9 | A | Unknown |
| Oakbrook Investments CRD: 108003 | — | 0 | 0 | A | Unknown |
| Oakcliff Partners LLC CRD: 162325 | — | 0 | 1 | A | Unknown |
| Oake Financial LLC CRD: 316992 | — | 0 | 1 | A | Unknown |
| Oakermay Partners LP CRD: 313172 | — | 0 | 0 | A | Unknown |
| Oakford Park Capital CRD: 226678 | — | 0 | 0 | A | Unknown |
| Oakford Partners, LLC CRD: 30487 | — | 0 | 0 | A | INACTIVE |
| Oakhouse Partners, LLC CRD: 290187 | — | 0 | 1 | A | Unknown |
| Oakhurst Advisors CRD: 282057 | — | 0 | 1 | A | Unknown |
| Oakhurst Financial CRD: 164749 | — | 0 | 0 | A | Unknown |
| Oakleaf Asset Advisors CRD: 153182 | — | 0 | 1 | A | Unknown |
| Oakley Capital GMBH CRD: 313895 | — | 0 | 0 | A | Unknown |
| Oakley Capital Group CRD: 169427 | — | 0 | 2 | A | Unknown |
| Oakley Capital S.L.U CRD: 327472 | — | 0 | 0 | A | Unknown |
| Oakley Capital S.R.L. CRD: 314514 | — | 0 | 0 | A | Unknown |
| Oakley Financial LLC CRD: 328793 | — | 0 | 1 | A | Unknown |
| Oakline Advisors, LLC CRD: 168995 | — | 0 | 0 | A | Unknown |
| Oaklins DP LLC CRD: 124988 | NY | 0 | 2 | A | Active |
| Oakmont Advisory Group, LLC CRD: 158890 | — | 0 | 1 | A | Unknown |
| Oakmont Corporation CRD: 112337 | — | 0 | 1 | A | Unknown |
| Oakmount Capital LLP CRD: 339737 | — | 0 | 0 | A | Unknown |
| Oakshore Partners, LLC CRD: 285727 | — | 0 | 0 | A | Unknown |
| Oakton Financial, LLC CRD: 297609 | — | 0 | 1 | A | Unknown |
| Oaktree Advisors LLC CRD: 168271 | — | 0 | 1 | A | Unknown |
| Oaktree Wealth Group Inc. CRD: 167388 | — | 0 | 1 | A | Unknown |
| Oakum BAY Capital, LLC CRD: 166025 | — | 0 | 1 | A | Unknown |
| Oakvale Investments Inc. CRD: 113450 | — | 0 | 2 | A | Unknown |
| Oakwater Financial CRD: 325181 | — | 0 | 1 | A | Unknown |
| Oakwood Advisory Group, LLC CRD: 159691 | — | 0 | 2 | A | Unknown |
| Oakwood Capital, Inc. CRD: 112399 | — | 0 | 19 | A | Unknown |
| OAR Financial CRD: 158989 | — | 0 | 1 | A | Unknown |
| Oars Capital CRD: 153198 | — | 0 | 1 | A | Unknown |
| Oarsman Capital, Inc CRD: 109993 | — | 0 | 4 | A | Unknown |
| Oasis Advisors CRD: 335555 | — | 0 | 23 | A | Unknown |