Nebraska

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

Nebraska at a glance

As of July 2026, Nebraska registers 8 broker-dealer firms on FINRA BrokerCheck - 1 carry a clean record and 29 disclosures are on file statewide.

8
registered firms: 1
with a clean record (Grade A): 29
total disclosures statewide: 3.6
disclosures per firm (avg)

Registered Firms

Clean Record (Grade A)

Total Disclosures

3.6

Avg Disclosures / Firm

Grade Distribution

How Nebraska's 8 graded broker-dealers split across the size-normalized A-F safety scale.

Grade breakdown of 8 graded firms headquartered in Nebraska

Firms by Disclosure Count

#	Firm	Disclosures	Offices	Grade
1	Axos Clearing LLC Omaha	14	4	C
2	Mutual of Omaha Investor Services, Inc. Omaha	6	249	B
3	Allstate Financial Services, LLC Lincoln	5	3,326	B
4	Haley Securities, Inc. Omaha	1	2	B
5	Northern Lights Distributors, LLC Elkhorn	1	2	B
6	Teckmeyer Financial Services, L.L.C. Omaha	1	6	B
7	Weitz Securities, Inc. Omaha	1	2	B
8	Carson Group Brokerage, LLC Omaha	0	2	A

Inside Nebraska's Broker-Dealer Landscape

Nebraska has 8 actively registered broker-dealer firms in FINRA's public register, of which 1 (12.5%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 29 disclosures on BrokerCheck, averaging 3.6 per firm. Grade distribution across Nebraska's broker-dealers: 1 graded A, 6 graded B, 1 graded C, 0 graded D, and 0 graded F. That means 12.5% of graded firms hold an A and 0.0% fall into the D or F bands.

Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations, large multistate firms headquartered in Nebraska will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Nebraska advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

Frequently asked questions

How many broker-dealer firms are registered in Nebraska?

Nebraska has 8 actively registered broker-dealer firms on FINRA BrokerCheck, of which 1 (12.5%) hold a clean Grade-A record with no reportable disclosures.

Which Nebraska broker-dealer has the most FINRA disclosures?

Among firms registered in Nebraska, Axos Clearing LLC carries the most reported BrokerCheck disclosures (14 across 4 branch offices). Disclosure totals reflect reported events, not proven violations, larger firms naturally carry more. Always review the specific records on FINRA BrokerCheck.

How are PlainAdvisorCheck safety grades calculated?

Grades are size-normalized: a firm's weighted disclosure load is divided by its branch-office footprint, then ranked within its size class. Firms with zero disclosures earn an A regardless of size. Grades are editorial signals, not FINRA ratings. See our methodology for the exact formula.

Is this official Nebraska broker data?

Yes. All firm records come from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD) - the official public registries for U.S. broker-dealers. PlainAdvisorCheck aggregates and size-normalizes them; the underlying records are public domain.

All Nebraska Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Browse all firms → | Rankings →

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Compiled by PlainAdvisorCheck Editorial, Financial Advisor Discipline Editorial Team

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on SEC/FINRA regulatory filing data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.