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 |
|---|---|---|---|---|---|
| OTT Family Holding CRD: 339247 | — | 0 | 1 | A | Unknown |
| Otter Capital LLC CRD: 163754 | — | 0 | 1 | A | Unknown |
| Otter Creek Partners CRD: 125591 | — | 0 | 0 | A | Unknown |
| Otter Rock Advisors LP CRD: 338160 | — | 0 | 1 | A | Unknown |
| Otto & Associates, Inc. CRD: 109493 | — | 0 | 2 | A | Unknown |
| OUP Management Co., LLC CRD: 312857 | — | 0 | 1 | A | Unknown |
| OUR Family Financial CRD: 291882 | — | 0 | 0 | A | Unknown |
| OUR Investment GUY CRD: 337411 | — | 0 | 1 | A | Unknown |
| Ourcrowd CRD: 169475 | — | 0 | 0 | A | Unknown |
| OUT of the Office Planning CRD: 312060 | — | 0 | 0 | A | Unknown |
| Outbound Financial CRD: 287697 | — | 0 | 1 | A | Unknown |
| Outcast Ventures, LLC CRD: 339350 | — | 0 | 1 | A | Unknown |
| Outcome Capital, LLC CRD: 100960 | MA | 0 | 3 | A | Active |
| Outfitter Financial CRD: 291413 | — | 0 | 1 | A | Unknown |
| Outfitter Financial Corp. CRD: 138923 | — | 0 | 0 | A | Unknown |
| Outflyers LLC CRD: 304115 | — | 0 | 1 | A | Unknown |
| Outlander VC CRD: 325268 | — | 0 | 1 | A | Unknown |
| Outlier Ventures CRD: 289911 | — | 0 | 1 | A | Unknown |
| Outpost Advisors, LLC CRD: 300602 | — | 0 | 2 | A | Unknown |
| Outpost Capital, LLC CRD: 285733 | — | 0 | 0 | A | Unknown |
| Outrunner Capital, LLC CRD: 331377 | — | 0 | 1 | A | Unknown |
| Outset Capital, LLC CRD: 313827 | — | 0 | 1 | A | Unknown |
| Outside VC, LLC CRD: 322144 | — | 0 | 1 | A | Unknown |
| Outsider, LLC CRD: 323623 | — | 0 | 1 | A | Unknown |
| Outvest Capital, LLC CRD: 288287 | — | 0 | 0 | A | Unknown |
| Outwater & Wells, Inc. CRD: 2959 | — | 0 | 0 | A | INACTIVE |
| OV Capital CRD: 147959 | — | 0 | 0 | A | Unknown |
| Oval Park Capital LLC CRD: 319283 | — | 0 | 1 | A | Unknown |
| Ovation Partners, LP CRD: 166145 | — | 0 | 0 | A | Unknown |
| Ovcp Manager, LLC CRD: 333064 | — | 0 | 1 | A | Unknown |
| Overclock Capital LLC CRD: 319262 | — | 0 | 0 | A | Unknown |
| Overflow Financial CRD: 325459 | — | 0 | 1 | A | Unknown |
| Overland Advisors CRD: 334738 | — | 0 | 1 | A | Unknown |
| Overland Advisors, LLC CRD: 325525 | — | 0 | 1 | A | Unknown |
| Overline CRD: 330638 | — | 0 | 1 | A | Unknown |
| Overlock Capital LLC CRD: 330427 | — | 0 | 0 | A | Unknown |
| Overlook Capital LLC CRD: 139817 | — | 0 | 0 | A | INACTIVE |
| Overlook Ventures LLC CRD: 339028 | — | 0 | 1 | A | Unknown |
| Overlooked Opportunities CRD: 113806 | — | 0 | 0 | A | Unknown |
| Overshare CRD: 300372 | — | 0 | 2 | A | Unknown |
| Overson Advisory Group CRD: 165648 | — | 0 | 1 | A | Unknown |
| Overture Climate LLC CRD: 316885 | — | 0 | 1 | A | Unknown |
| Overwatch Management CRD: 323450 | — | 0 | 1 | A | Unknown |
| Ovington Advisors, LLC CRD: 292737 | — | 0 | 0 | A | Unknown |
| Ovis Capital, LLC CRD: 281381 | — | 0 | 1 | A | Unknown |
| OVN Capital LLC CRD: 312941 | — | 0 | 1 | A | Unknown |
| OVO Manager LLC CRD: 174867 | — | 0 | 1 | A | Unknown |
| OVP Management Co., LLC CRD: 312970 | — | 0 | 1 | A | Unknown |
| Owens Equities of North America, Ltd. CRD: 10314 | — | 0 | 0 | A | INACTIVE |
| Owens Financial Inc. CRD: 120811 | — | 0 | 0 | A | Unknown |