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 |
|---|---|---|---|---|---|
| ON Point Financial Planning CRD: 313146 | — | 0 | 0 | A | Unknown |
| ON the Trail Financial Planning, LLC CRD: 297393 | — | 0 | 1 | A | Unknown |
| ON Track Financial LLC CRD: 120542 | — | 0 | 2 | A | Unknown |
| ON Track to Retire LLC CRD: 305302 | — | 0 | 1 | A | Unknown |
| ON-Site Trading, Inc. CRD: 30271 | — | 3 | 0 | C | INACTIVE |
| Oncap Management Partners L.P. CRD: 161167 | — | 0 | 0 | A | Unknown |
| Oncept Trading, LLC CRD: 299427 | — | 0 | 0 | A | Unknown |
| Ondra Partners LP CRD: 155106 | — | 0 | 0 | A | INACTIVE |
| ONE + ONE Wealth Management, LLC CRD: 310906 | — | 0 | 1 | A | Unknown |
| ONE Advisory Partners, LLC CRD: 161614 | — | 0 | 6 | A | Unknown |
| ONE Advocate Group CRD: 270005 | — | 0 | 0 | A | Unknown |
| ONE Brick Capital, LLC CRD: 300365 | — | 0 | 1 | A | Unknown |
| ONE DAY in July LLC CRD: 284335 | — | 0 | 10 | A | Unknown |
| ONE DAY Wealth CRD: 296786 | — | 0 | 2 | A | Unknown |
| ONE Fund Management S.A. CRD: 335382 | — | 0 | 0 | A | Unknown |
| ONE Funds, LLC CRD: 331689 | — | 0 | 1 | A | Unknown |
| ONE Investments S.A.G.L. CRD: 338809 | — | 0 | 0 | A | Unknown |
| ONE Life Advisory CRD: 338319 | — | 0 | 1 | A | Unknown |
| ONE Madison Group LLC CRD: 320876 | — | 0 | 1 | A | Unknown |
| ONE Market Securities CRD: 32112 | — | 0 | 0 | A | INACTIVE |
| ONE Mind CRD: 339107 | — | 0 | 1 | A | Unknown |
| ONE OAK CRD: 334282 | — | 0 | 1 | A | Unknown |
| ONE OAK Capital Management, LLC CRD: 170339 | — | 0 | 2 | A | Unknown |
| ONE OAK Private Wealth and Asset Management CRD: 298576 | — | 0 | 0 | A | Unknown |
| ONE on ONE Investments Inc CRD: 149748 | — | 0 | 0 | A | Unknown |
| ONE Orchard Equities, Inc. CRD: 42124 | — | 4 | 0 | C | INACTIVE |
| ONE Peak CRD: 309302 | — | 0 | 0 | A | Unknown |
| ONE Point Seven Wealth CRD: 309173 | — | 0 | 0 | A | Unknown |
| ONE Queen Capital Inc. CRD: 315926 | — | 0 | 0 | A | Unknown |
| ONE Resource Group Private Advisor Group CRD: 306235 | — | 0 | 0 | A | Unknown |
| ONE Rock Capital CRD: 160972 | — | 0 | 1 | A | Unknown |
| ONE Stone Global LLC CRD: 175052 | — | 0 | 1 | A | Unknown |
| ONE Stone Partners L.L.C. CRD: 163742 | — | 0 | 1 | A | Unknown |
| ONE Stop Advisor LLC CRD: 321998 | — | 0 | 1 | A | Unknown |
| ONE Thousand & ONE Voices Management (Mauritius), … CRD: 174982 | — | 0 | 0 | A | Unknown |
| ONE Thousand & ONE Voices Management, LLC CRD: 173607 | — | 0 | 0 | A | Unknown |
| ONE Three ONE Partners, LP CRD: 312769 | — | 0 | 0 | A | Unknown |
| ONE to ONE Financial Services, LLC CRD: 119295 | — | 0 | 0 | A | Unknown |
| ONE to ONE, LLC CRD: 284717 | — | 0 | 0 | A | Unknown |
| ONE Wall Street Partners, L.P. CRD: 33933 | — | 0 | 0 | A | INACTIVE |
| ONE Wealth Investors CRD: 288030 | — | 0 | 1 | A | Unknown |
| ONE Wealth MAP, LLC CRD: 171750 | — | 0 | 7 | A | Unknown |
| ONE XVI Wealth CRD: 329940 | — | 0 | 1 | A | Unknown |
| ONE-Five Advisory, L.L.C. CRD: 286327 | — | 0 | 0 | A | Unknown |
| ONE-UP Financial CRD: 333778 | — | 0 | 1 | A | Unknown |
| ONE-UP Financial LLC CRD: 309489 | — | 0 | 0 | A | Unknown |
| ONE01 Capital, L.P. CRD: 290652 | — | 0 | 0 | A | Unknown |
| ONE28 Capital CRD: 312045 | — | 0 | 0 | A | Unknown |
| ONE401K CRD: 284443 | — | 0 | 0 | A | Unknown |
| Oneadvisory, LLC CRD: 323232 | — | 0 | 0 | A | Unknown |