Firm & Individual Reports

The Oklahoma Department of Securities provides the following report options for firms and individuals with active filings in Oklahoma.  Please choose from one the following selections to generate your desired report. Data for Investment Adviser Firms is available in real-time, while data for Investment Adviser Representatives, Broker-Dealer Firms and Broker-Dealer Agents is provided on a monthly basis, as it must be requested from FINRA.  

Search by Firm or Individual

Investment Advisers
Firms - 8/20/2017 (Real-time) Representatives - As of 6/2/2016
All Firms (1,000+)
All Oklahoma Registered Firms
All SEC Registered Firms
All Firms Located in Oklahoma
All IA Reps. Approved in OK
All IA Reps. Approved & Located in OK
 
Broker Dealers
Firms - As of 6/2/2016 Agents - As of 6/2/2016
All Firms
All Firms Located in Oklahoma
All Agents Located in OK  
  

If you want information not presented in one of these free reports, complete the CRD Ad Hoc Report Form and follow the submission instructions on the form.   FINRA charges between $120 and $480 for each custom report.  The price is listed to the right of each report.