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 |
|---|---|---|---|---|---|
| Ortex Securities LLC CRD: 322213 | NY | 0 | 1 | A | Active |
| Ortman Finances, LLC CRD: 331714 | — | 0 | 1 | A | Unknown |
| Orvieto Partners, L.P. CRD: 313475 | — | 0 | 1 | A | Unknown |
| Oryem, Edward Allister CRD: 136291 | — | 0 | 0 | A | Unknown |
| OS Partners LLC CRD: 335318 | — | 0 | 1 | A | Unknown |
| OSA Capital LLC CRD: 334350 | — | 0 | 1 | A | Unknown |
| Osage Industries CRD: 162065 | — | 0 | 0 | A | Unknown |
| Osage Investments, Inc. CRD: 118539 | — | 0 | 0 | A | INACTIVE |
| Osaic Advisory Services, LLC CRD: 171070 | — | 0 | 362 | A | Unknown |
| Osaic FA, Inc. CRD: 3978 | — | 22 | 0 | F | INACTIVE |
| Osaic FS, Inc. CRD: 3870 | — | 28 | 0 | F | INACTIVE |
| Osaic Institutions, Inc. CRD: 35371 | CT | 9 | 997 | B | Active |
| Osaic Services, Inc. CRD: 133763 | AZ | 37 | 1 | F | Active |
| Osaic Wealth, Inc. CRD: 23131 | AZ | 82 | 5,899 | B | Active |
| Osborne Partners CRD: 108100 | — | 0 | 3 | A | Unknown |
| Oscar Mike Capital LLC CRD: 291346 | — | 0 | 0 | A | Unknown |
| Oscher & Co, Inc CRD: 33271 | — | 0 | 0 | A | INACTIVE |
| Osgood & Associates, P.C. CRD: 117740 | — | 0 | 0 | A | Unknown |
| Osgood, Mark M CRD: 104216 | — | 0 | 0 | A | INACTIVE |
| Oshima & Associates CRD: 10370 | — | 3 | 1 | C | INACTIVE |
| Osiris Partners LLC CRD: 163632 | — | 0 | 0 | A | Unknown |
| Oslo Asset Management CRD: 163954 | — | 0 | 0 | A | Unknown |
| Osmium Partners, LLC CRD: 163789 | — | 0 | 0 | A | Unknown |
| Osotoro CRD: 284234 | — | 0 | 0 | A | Unknown |
| Osowsky Capital CRD: 164551 | — | 0 | 0 | A | Unknown |
| Ospraie Management, LLC CRD: 135782 | — | 0 | 0 | A | Unknown |
| Ospraie Management, LLC CRD: 305479 | — | 0 | 1 | A | Unknown |
| Osprey Investors (UK) LLP CRD: 340963 | — | 0 | 0 | A | Unknown |
| Osprey Money Management, LLC CRD: 135497 | — | 0 | 1 | A | Unknown |
| Osprey Partners LLC CRD: 38122 | — | 0 | 0 | A | INACTIVE |
| Osprey Trading LLC CRD: 170605 | — | 0 | 0 | A | INACTIVE |
| Ospreycoast Funds, LLC CRD: 173838 | — | 0 | 0 | A | Unknown |
| Osrn Ltd CRD: 329283 | — | 0 | 0 | A | Unknown |
| OSS Capital, LLC CRD: 314805 | — | 0 | 1 | A | Unknown |
| Ossia IM CRD: 329936 | — | 0 | 1 | A | Unknown |
| Ostra Capital CRD: 161847 | — | 0 | 0 | A | Unknown |
| Ostrom & Associates CRD: 121305 | — | 0 | 1 | A | Unknown |
| OT Advisors LLC CRD: 328812 | — | 0 | 1 | A | Unknown |
| OT Management, LLC CRD: 284192 | — | 0 | 1 | A | Unknown |
| OT Research CRD: 299086 | — | 0 | 1 | A | Unknown |
| OTA LLC CRD: 25816 | — | 21 | 0 | F | INACTIVE |
| OTC Link LLC CRD: 153944 | NY | 1 | 2 | B | Active |
| Otcex, LLC CRD: 165046 | — | 0 | 0 | A | INACTIVE |
| Other People's Capital CRD: 328710 | — | 0 | 0 | A | Unknown |
| Otium Advisory Group, LLC CRD: 285173 | — | 0 | 2 | A | Unknown |
| Otium Financial CRD: 311588 | — | 0 | 0 | A | Unknown |
| Otkritie Capital U.S. Inc. CRD: 155187 | — | 0 | 0 | A | INACTIVE |
| OTR Global LLC CRD: 123809 | — | 0 | 4 | A | Unknown |
| OTR Global Trading LLC CRD: 138116 | — | 2 | 0 | B | INACTIVE |
| Otro Capital CRD: 327232 | — | 0 | 1 | A | Unknown |