Broker-Dealer Firms
14 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 |
|---|---|---|---|---|---|
| CONNERS & CO., INC. CRD: 1511 | OH | 8 | 1 | F | Active |
| CORE FINANCIAL, LLC CRD: 151044 | OH | 1 | 1 | F | Active |
| INVESTMENT NETWORK, INC. CRD: 127724 | OH | 2 | 1 | F | Active |
| INVESTMENTS FOR YOU, INC. CRD: 29257 | OH | 3 | 1 | F | Active |
| L.M. KOHN & COMPANY CRD: 27913 | OH | 1 | 1 | F | Active |
| LFT SECURITIES, LLC CRD: 290210 | OH | 0 | 1 | A | Active |
| MGO SECURITIES CORP. CRD: 37584 | OH | 0 | 1 | A | Active |
| RKCA, INC. CRD: 17655 | OH | 2 | 1 | F | Active |
| SKA SECURITIES, INC. CRD: 113852 | OH | 0 | 1 | A | Active |
| THE TAVENNER COMPANY CRD: 18004 | OH | 0 | 1 | A | Active |
| W&S BROKERAGE SERVICES, INC. CRD: 8099 | OH | 0 | 1 | A | Active |
| WOBD, LLC CRD: 285537 | OH | 0 | 1 | A | Active |
| YELLOW CARDINAL CORPORATE FINANCE, LLC CRD: 135111 | OH | 1 | 1 | F | Active |
| ZELMAN PARTNERS, LLC CRD: 145187 | OH | 0 | 1 | A | Active |