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 - 2/9/2010 Representatives - As of 2/1/2010
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 2/1/2010 Agents - As of 2/1/2010
All Firms
All Firms Located in Oklahoma
All BD Agents (.zip)
All Agents Located in OK  
  

If you want information not presented in one of these reports, send us a detailed e-mail outlining the information you want.  FINRA charges $150 to $350 for custom reports.  We will notify you of the specific charge before the report is ordered.