Ohio
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| CONNERS & CO., INC. | 8 | 1 | F | Active |
| INVESTMENTS FOR YOU, INC. | 3 | 1 | F | Active |
| INVESTMENT NETWORK, INC. | 2 | 1 | F | Active |
| RKCA, INC. | 2 | 1 | F | Active |
| CORE FINANCIAL, LLC | 1 | 1 | F | Active |
| L.M. KOHN & COMPANY | 1 | 1 | F | Active |
| YELLOW CARDINAL CORPORATE FINANCE, LLC | 1 | 1 | F | Active |
| LFT SECURITIES, LLC | 0 | 1 | A | Active |
| MGO SECURITIES CORP. | 0 | 1 | A | Active |
| SKA SECURITIES, INC. | 0 | 1 | A | Active |
| THE TAVENNER COMPANY | 0 | 1 | A | Active |
| W&S BROKERAGE SERVICES, INC. | 0 | 1 | A | Active |
| WOBD, LLC | 0 | 1 | A | Active |
| ZELMAN PARTNERS, LLC | 0 | 1 | A | Active |
Inside Ohio's Broker-Dealer Landscape
Ohio is home to 14 broker-dealer firms in FINRA's public register, of which 14 (100.0%) are currently marked ACTIVE. Those firms employ 14 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 18 disclosures on BrokerCheck, averaging 1.3 per firm. Grade distribution across Ohio's broker-dealers: 7 graded A, 0 graded B, 0 graded C, 0 graded D, and 7 graded F. That means 50.0% of graded firms hold an A and 50.0% 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 Ohio 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 Ohio advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
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