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 |
|---|---|---|---|---|---|
| Oasis OIL Investments CRD: 22311 | — | 0 | 0 | A | INACTIVE |
| Oasis PRO Markets LLC CRD: 149420 | CT | 0 | 2 | A | Active |
| Oasis Trading LLC CRD: 127930 | — | 0 | 0 | A | INACTIVE |
| Oasys Wealth, Inc. CRD: 339626 | — | 0 | 1 | A | Unknown |
| Oath Advisors LLC CRD: 309545 | — | 0 | 0 | A | Unknown |
| Oath Planning, LLC CRD: 299187 | — | 0 | 4 | A | Unknown |
| Oatley & Diak, LLC. CRD: 123589 | — | 0 | 4 | A | Unknown |
| OBD Securities LLC CRD: 153008 | — | 0 | 0 | A | INACTIVE |
| Obelisk Financial LLC CRD: 327725 | — | 0 | 0 | A | Unknown |
| Oberhofer & Company CRD: 18274 | — | 0 | 0 | A | INACTIVE |
| Oberland Capital Management LLC CRD: 169109 | — | 0 | 1 | A | Unknown |
| Oberon Securities, LLC CRD: 132598 | NY | 0 | 2 | A | Active |
| Obex Investments LLC CRD: 118461 | — | 0 | 1 | A | Unknown |
| Obex Securities LLC CRD: 120002 | NY | 0 | 2 | A | Active |
| Objective Planning CRD: 158915 | — | 0 | 0 | A | Unknown |
| Objective Wealth, LLC CRD: 305321 | — | 0 | 1 | A | Unknown |
| OBN Wealth Advisors CRD: 287483 | — | 0 | 1 | A | Unknown |
| OBP Capital CRD: 167619 | — | 0 | 1 | A | Unknown |
| OBP Municipals Corp. CRD: 25584 | — | 0 | 0 | A | INACTIVE |
| Obrien Greene & Co Inc CRD: 110281 | — | 0 | 3 | A | Unknown |
| OBS Financial CRD: 138615 | — | 0 | 0 | A | Unknown |
| Obsidian CIO, LLC CRD: 289000 | — | 0 | 1 | A | Unknown |
| Obsidian Wisdom CRD: 310666 | — | 0 | 1 | A | Unknown |
| Obvious Ventures CRD: 173187 | — | 0 | 1 | A | Unknown |
| OC Private Capital, LLC CRD: 290619 | — | 0 | 0 | A | Unknown |
| OC Securities, Inc. CRD: 133264 | — | 2 | 0 | B | INACTIVE |
| OCA Ventures, LLC CRD: 161160 | — | 0 | 1 | A | Unknown |
| Ocala Capital, LLC CRD: 174846 | — | 0 | 1 | A | Unknown |
| Ocampo Capital LLC CRD: 335124 | — | 0 | 1 | A | Unknown |
| OCC Distributors LLC CRD: 18541 | — | 0 | 0 | A | INACTIVE |
| Occasio Partners, LLC CRD: 323942 | — | 0 | 1 | A | Unknown |
| Occidental Asset Management, LLC CRD: 168650 | — | 0 | 9 | A | Unknown |
| Occudo Quantitative Strategies LP CRD: 310070 | — | 0 | 1 | A | Unknown |
| Ocean Advisors, LLC CRD: 150273 | — | 0 | 0 | A | Unknown |
| Ocean Advisors, LLC CRD: 133124 | — | 0 | 1 | A | Unknown |
| Ocean Arete Limited CRD: 286314 | — | 0 | 0 | A | Unknown |
| Ocean Brokerage LLC CRD: 100900 | — | 0 | 0 | A | INACTIVE |
| Ocean Capital Corporation CRD: 29224 | — | 0 | 0 | A | INACTIVE |
| Ocean Capital Management Ltd. CRD: 284349 | — | 0 | 0 | A | Unknown |
| Ocean Crest Financial CRD: 299482 | — | 0 | 0 | A | Unknown |
| Ocean State Securities, Inc. CRD: 5812 | — | 0 | 0 | A | INACTIVE |
| Ocean View Advisory CRD: 291479 | — | 0 | 0 | A | Unknown |
| Ocean View Capital, LLC CRD: 148616 | — | 5 | 0 | C | INACTIVE |
| Oceana Partners LLC CRD: 129883 | — | 0 | 0 | A | INACTIVE |
| Oceanair Wealth CRD: 335107 | — | 0 | 1 | A | Unknown |
| Oceanic Partners, Inc. CRD: 174179 | — | 0 | 1 | A | Unknown |
| Oceaniq Capital, LLC CRD: 168062 | — | 0 | 2 | A | Unknown |
| Oceaniq Partners LLC CRD: 282269 | — | 0 | 0 | A | Unknown |
| Oceans Management, LLC CRD: 323086 | — | 0 | 1 | A | Unknown |
| Oceanus Research LLC CRD: 314649 | — | 0 | 1 | A | Unknown |