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 |
|---|---|---|---|---|---|
| Owens Securities Corp. CRD: 23342 | — | 1 | 0 | B | INACTIVE |
| Owens, James CRD: 127130 | — | 0 | 0 | A | Unknown |
| OWL and ORE Wealth Planning CRD: 283734 | — | 0 | 1 | A | Unknown |
| OWL Ventures CRD: 172513 | — | 0 | 1 | A | Unknown |
| Owlfa LLC CRD: 284567 | — | 0 | 0 | A | Unknown |
| Owlfi CRD: 311854 | — | 0 | 0 | A | Unknown |
| Owlhouse Capital LP CRD: 328210 | — | 0 | 1 | A | Unknown |
| Owls Nest Partners CRD: 289811 | — | 0 | 3 | A | Unknown |
| Owlshares CRD: 283848 | — | 0 | 0 | A | Unknown |
| Ownership Capital CRD: 283247 | — | 0 | 0 | A | Unknown |
| Ownla LLC CRD: 300958 | — | 0 | 0 | A | Unknown |
| OWR Equity Corp. CRD: 36763 | — | 0 | 0 | A | INACTIVE |
| OX Trading, LLC CRD: 145131 | — | 1 | 0 | B | INACTIVE |
| OX Trading, LLC CRD: 154667 | — | 4 | 0 | C | INACTIVE |
| Oxbow Advisors, LLC CRD: 156393 | — | 0 | 6 | A | Unknown |
| Oxdrawn Capital, LLC CRD: 333855 | — | 0 | 1 | A | Unknown |
| Oxenfree Financial CRD: 327105 | — | 0 | 2 | A | Unknown |
| Oxford Capital CRD: 333156 | — | 0 | 1 | A | Unknown |
| Oxford Capital Groupe CRD: 130172 | — | 0 | 0 | A | Unknown |
| Oxford Capital, LLC CRD: 166637 | — | 0 | 0 | A | INACTIVE |
| Oxford Martin, LLC CRD: 316388 | — | 0 | 1 | A | Unknown |
| Oxler Private Wealth CRD: 309684 | — | 0 | 8 | A | Unknown |
| Oxylus Capital Ltd CRD: 313054 | — | 0 | 0 | A | Unknown |
| Oyster Creek Capital CRD: 339119 | — | 0 | 1 | A | Unknown |
| Oyster Ventures, LLC CRD: 319254 | — | 0 | 1 | A | Unknown |
| OZE Capital LLC CRD: 327276 | — | 0 | 1 | A | Unknown |
| Ozga, Thomas J CRD: 34524 | — | 0 | 0 | A | INACTIVE |
| P & G Exploration, Inc. CRD: 14301 | — | 0 | 0 | A | INACTIVE |
| P & L Advisors, LLC CRD: 188514 | — | 0 | 1 | A | Unknown |
| P & L Securities, Inc. CRD: 32593 | — | 0 | 0 | A | INACTIVE |
| P & M Corporate Finance, LLC CRD: 129624 | IL | 0 | 4 | A | Active |
| P & S Capital Management, L.P. CRD: 162317 | — | 0 | 0 | A | Unknown |
| P & S Credit Management, L.P. CRD: 158518 | — | 0 | 0 | A | Unknown |
| P and J Investment Ltd. CRD: 298752 | — | 0 | 0 | A | Unknown |
| P B Naybers, LLC CRD: 123207 | — | 0 | 0 | A | INACTIVE |
| P Capital Partners AB CRD: 172877 | — | 0 | 0 | A | Unknown |
| P Chan & Company CRD: 112945 | — | 0 | 0 | A | Unknown |
| P G Boole, LLC CRD: 137920 | MA | 0 | 2 | A | Active |
| P J Peter & Co. CRD: 6799 | — | 0 | 0 | A | INACTIVE |
| P Squared Wealth Planning LLC CRD: 305557 | — | 0 | 0 | A | Unknown |
| P&A Capital Advisors CRD: 111731 | — | 0 | 1 | A | Unknown |
| P&A Fund Management, Inc. CRD: 111730 | — | 0 | 0 | A | Unknown |
| P&P Wealth Management LLC CRD: 158469 | — | 0 | 1 | A | Unknown |
| P. a. N. Securities, LP CRD: 104823 | CT | 1 | 2 | B | Active |
| P. R. Herzig & Co. Inc. CRD: 2185 | — | 3 | 0 | C | INACTIVE |
| P. V. Anderson, Inc. CRD: 10326 | — | 0 | 0 | A | INACTIVE |
| P. Worldwide, LLC CRD: 159664 | — | 0 | 1 | A | Unknown |
| P.A. Graver & Associates, Inc. CRD: 23309 | — | 0 | 0 | A | INACTIVE |
| P.A. Schopen & Associates, LLC CRD: 290581 | — | 0 | 1 | A | Unknown |
| P.A.W. Capital Partners, LP CRD: 161094 | — | 0 | 1 | A | Unknown |