Ohio

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

Ohio at a glance

As of July 2026, Ohio registers 57 broker-dealer firms on FINRA BrokerCheck - 26 carry a clean record and 234 disclosures are on file statewide.

57
registered firms
26
with a clean record (Grade A)
234
total disclosures statewide
4.1
disclosures per firm (avg)
57
Registered Firms
26
Clean Record (Grade A)
234
Total Disclosures
4.1
Avg Disclosures / Firm

How Ohio ranks

A state's raw firm count and its disciplinary clean-record rate measure two different things, and they do not always move together. A jurisdiction can host a large number of broker-dealer firms simply because it is a major financial hub, while a smaller state with far fewer registered firms can post a cleaner disciplinary record in relative terms, or vice versa. Comparing both rankings side by side, rather than looking at either figure in isolation, gives a fuller picture of what is actually happening on the ground in a given state.

By firm count, Ohio is #11 of 56 states and territories. By clean-record rate (Grade A share, among the 33 states with at least 10 registered firms, a floor that keeps a state with only a handful of firms from swinging to an extreme rate on a tiny sample), it ranks #26 of 33. These ranks diverge notably -- a larger firm footprint here does not translate into a proportionally cleaner record. Neither ranking implies wrongdoing on its own; always review an individual firm's own size-normalized grade before drawing a conclusion about it specifically.

Grade Distribution

How Ohio's 57 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (26)26 firmsB, low (28)28 firmsC, typical (2)2 firmsD, elevated (1)1 firmF, heaviest (0)0 firms
Grade breakdown of 57 graded firms headquartered in Ohio

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 Fifth Third Securities, Inc. Cincinnati 57 1,391 B
2 Keybanc Capital Markets Inc. Cleveland 55 43 D
3 THE Huntington Investment Company Columbus 25 978 B
4 Nationwide Securities, LLC Columbus 13 15 B
5 THE o.n. Equity Sales Company Cincinnati 9 186 B
6 Conners & Co., Inc. Cincinnati 8 2 C
7 Huntington Securities, Inc. Columbus 8 20 C
8 Mcdonald Partners LLC Cleveland 6 25 B
9 Independence Capital Co., Inc. Parma 5 29 B
10 Nationwide Investment Services Corporation Columbus 5 81 B
11 Capital City Securities, LLC Powell 4 4 B
12 KEY Investment Services LLC Brooklyn 4 782 B
13 MM Ascend Life Investor Services, LLC Cincinnati 4 9 B
14 Valmark Securities, Inc. Akron 4 190 B
15 Westminster Financial Securities, Inc. Beavercreek 4 19 B
16 Investments for YOU, Inc. Marysville 3 2 B
17 Cbiz Financial Solutions, Inc. Cleveland 2 13 B
18 Investment Network, Inc. Canton 2 7 B
19 Navian Capital Securities LLC Cincinnati 2 3 B
20 Rkca, Inc. Cincinnati 2 7 B
21 World Choice Securities, Inc. Columbus 2 9 B
22 Brown, Gibbons, Lang & Company Securities, LLC Cleveland 1 7 B
23 Core Financial, LLC Columbus 1 2 B
24 Jpmorgan Distribution Services, Inc. Columbus 1 6 B
25 L.M. Kohn & Company Cincinnati 1 2 B
26 Meeder Distribution Services, Inc. Dublin 1 2 B
27 Nationwide Fund Distributors LLC Columbus 1 2 B
28 Omni Financial Securities, Inc. Columbus 1 2 B
29 Victory Capital Services, Inc. Brooklyn 1 6 B
30 Wesbanco Securities, Inc. St Clairsville 1 110 B
31 Yellow Cardinal Corporate Finance, LLC Hamilton 1 6 B
32 American Heritage Securities, Inc. Akron 0 4 A
33 Arbor Court Capital, LLC Broadview Heights 0 2 A
34 Augustar Distributors, Inc. Cincinnati 0 2 A
35 Cincap Investment Group, LLC Cincinnati 0 2 A
36 Cleveland Research Company LLC Cleveland 0 3 A
37 Edgepoint Capital Advisors LLC Beachwood 0 2 A
38 Glasfunds Securities, LLC Cleveland 0 3 A
39 HBK Sorce Brokerage LLC Canfield 0 3 A
40 J. D. Seibert & Company, Inc. Cincinnati 0 2 A
41 Lazear Capital Securities, LLC Columbus 0 7 A
42 LFT Securities, LLC Cincinnati 0 4 A
43 Lincoln Douglas Investments, LLC Mt. Vernon 0 11 A
44 Lument Securities, LLC Columbus 0 13 A
45 Marshberry Capital, LLC. Woodmere 0 6 A
46 MGO Securities Corp. Beachwood 0 2 A
47 Northcoast Research Partners, LLC Cleveland 0 8 A
48 Oberlin Financial International, LLC Bryan 0 3 A
49 Opoc Broker-Dealer, LLC Worthington 0 1 A
50 SKA Securities, Inc. Fairview Park 0 2 A

Inside Ohio's Broker-Dealer Landscape

Ohio has 57 actively registered broker-dealer firms in FINRA's public register, of which 26 (45.6%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 234 disclosures on BrokerCheck, averaging 4.1 per firm. Grade distribution across Ohio's broker-dealers: 26 graded A, 28 graded B, 2 graded C, 1 graded D, and 0 graded F. That means 45.6% of graded firms hold an A and 1.8% 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.

Frequently asked questions

How many broker-dealer firms are registered in Ohio?
Ohio has 57 actively registered broker-dealer firms on FINRA BrokerCheck, of which 26 (45.6%) hold a clean Grade-A record with no reportable disclosures.
Which Ohio broker-dealer has the most FINRA disclosures?
Among firms registered in Ohio, Fifth Third Securities, Inc. carries the most reported BrokerCheck disclosures (57 across 1,391 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 Ohio 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 Ohio Firms → All States →

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

Related

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

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.