Broker-Dealer Firms
340 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| OHANAE SECURITIES LLC CRD: 304656 | NY | 0 | 1 | A | Active |
| OMNICAP, LLC CRD: 137353 | NY | 0 | 1 | A | Active |
| ONECHRONOS CRD: 286322 | NY | 0 | 1 | A | Active |
| ONESOURCE FI LLC CRD: 310933 | NY | 0 | 1 | A | Active |
| OPAL SECURITIES, INC. CRD: 8246 | NY | 0 | 1 | A | Active |
| OPEN TO THE PUBLIC INVESTING, INC. CRD: 127818 | NY | 4 | 1 | F | Active |
| OPENDEAL BROKER LLC CRD: 291387 | NY | 0 | 1 | A | Active |
| OPPENHEIMER & CO. INC. CRD: 249 | NY | 285 | 1 | F | Active |
| ORE CAP ADVISORS L.L.C. CRD: 328604 | NY | 0 | 1 | A | Active |
| ORTEX SECURITIES LLC CRD: 322213 | NY | 0 | 1 | A | Active |
| OTC LINK LLC CRD: 153944 | NY | 1 | 1 | F | Active |
| PALICO LLC CRD: 15960 | NY | 0 | 1 | A | Active |
| PARK MADISON PARTNERS LLC CRD: 140016 | NY | 0 | 1 | A | Active |
| PAVE SECURITIES, LLC CRD: 324533 | NY | 0 | 1 | A | Active |
| PERELLA WEINBERG PARTNERS LP CRD: 138618 | NY | 2 | 1 | F | Active |
| PHX FINANCIAL, INC. CRD: 144403 | NY | 6 | 1 | F | Active |
| PICKWICK CAPITAL PARTNERS, LLC CRD: 130672 | NY | 0 | 1 | A | Active |
| PIMCO INVESTMENTS LLC CRD: 154957 | NY | 0 | 1 | A | Active |
| PJT PARTNERS LP CRD: 171058 | NY | 1 | 1 | F | Active |
| PKS SECURITIES, INC. CRD: 101600 | NY | 0 | 1 | A | Active |
| PLANNED FINANCIAL PROGRAMS, INC. CRD: 3049 | NY | 1 | 1 | F | Active |
| PRAGMA LLC CRD: 136453 | NY | 0 | 0 | A | Active |
| PRE-IPO STREET INC. CRD: 173426 | NY | 1 | 1 | F | Active |
| PRIME DEALER SERVICES CORP. CRD: 36142 | NY | 1 | 1 | F | Active |
| PRISM FINANCIAL PRODUCTS LP CRD: 306255 | NY | 0 | 1 | A | Active |
| PUNDION LLC CRD: 156169 | NY | 3 | 1 | F | Active |
| PYRAMID FUNDS CORPORATION CRD: 3110 | NY | 1 | 1 | F | Active |
| QUANTFURY TRADING USA LLC CRD: 318437 | NY | 0 | 1 | A | Active |
| QUANTITATIVE BROKERS, LLC CRD: 169876 | NY | 0 | 1 | A | Active |
| QUATTRO M SECURITIES INC. CRD: 39289 | NY | 3 | 1 | F | Active |
| QUILVEST CAPITAL PARTNERS SECURITIES LLC CRD: 286380 | NY | 0 | 1 | A | Active |
| QUINBROOK CAPITAL PARTNERS LLC CRD: 313779 | NY | 0 | 1 | A | Active |
| QUINT CAPITAL CORPORATION CRD: 26586 | NY | 1 | 1 | F | Active |
| R. F. LAFFERTY & CO., INC. CRD: 2498 | NY | 7 | 1 | F | Active |
| RABO SECURITIES USA, INC. CRD: 122657 | NY | 0 | 1 | A | Active |
| REDBIRD BD LLC CRD: 297239 | NY | 0 | 1 | A | Active |
| REID & RUDIGER LLC CRD: 47263 | NY | 3 | 1 | F | Active |
| RMB SECURITIES (USA) INC. CRD: 314958 | NY | 0 | 1 | A | Active |
| RNR SECURITIES, L.L.C. CRD: 43689 | NY | 4 | 1 | F | Active |
| ROBERTS & RYAN, INC. CRD: 19456 | NY | 1 | 1 | F | Active |
| ROC GLOBAL LLC CRD: 154058 | NY | 0 | 1 | A | Active |
| RODMAN & RENSHAW, LLC CRD: 281264 | NY | 0 | 1 | A | Active |
| RONDOUT PARTNERS, LLC CRD: 298367 | NY | 0 | 1 | A | Active |
| ROTHSCHILD & CO REDBURN CRD: 140564 | NY | 1 | 1 | F | Active |
| ROTHSCHILD & CO US INC. CRD: 2910 | NY | 1 | 1 | F | Active |
| ROYCE FUND SERVICES, LLC CRD: 14470 | NY | 0 | 1 | A | Active |
| RPP SECURITIES CRD: 314893 | NY | 0 | 1 | A | Active |
| RQD* CLEARING, LLC CRD: 134284 | NY | 6 | 1 | F | Active |
| RUFFER LLC CRD: 322523 | NY | 0 | 1 | A | Active |
| SAFRA SECURITIES LLC CRD: 47873 | NY | 3 | 1 | F | Active |