Branch offices
1 office
FINRA: Small firm
CRD #326718 · FINRA BrokerCheck + SEC IAPD
4170 Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, 4170 Securities LLC ranks #5,104 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #105 of 200 on the same disclosure sort used on the state browse page. 4170 Securities LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 1 branch office, earning a Grade A.
- Grade A
- Safety grade
- 1
- branch office
- 0
- disclosures
- #5,104 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 326718 4170 Securities LLC
4170 Securities LLC · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 326718
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 1
- PER-OFF 0.00
- RANK #5,104 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
4170 Securities LLC ranks #5,104 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 1 offices
Clean disclosure surface
4170 Securities LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 1 branch office (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Chicago, IL, 60654
- Formed
- 03/08/2023
- State of Formation
- Illinois
- CRD Number
- 326718
- SEC Number
- 71102
Clean BrokerCheck surface
4170 Securities LLC's clean BrokerCheck surface
4170 Securities LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 1 branch office (Grade A).
4170 Securities LLC shows zero reportable disclosures across 1 branch office in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of 4170 Securities LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Illinois cohort · 0.00× state average
4170 Securities LLC sits below the Illinois disclosure average
4170 Securities LLC reports 0 BrokerCheck disclosures, 0.00× the Illinois average of 5.1, lighter than most of the 200 graded firms filed there.
In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does 4170 Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, 4170 Securities LLC ranks #5,104 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #105 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for 4170 Securities LLC?
A grade of A means 4170 Securities LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does 4170 Securities LLC have?
4170 Securities LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is 4170 Securities LLC?
4170 Securities LLC operates 1 branch office and is classified by FINRA as a small firm, registered in IL (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify 4170 Securities LLC's disciplinary record?
You can verify 4170 Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 326718. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. 4170 Securities LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to 4170 Securities LLC's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to 4170 Securities LLC's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to 4170 Securities LLC's 0.00
- Firms in IL - state roster that includes 4170 Securities LLC's registration home.
- How to Vet a Financial Advisor - Use 4170 Securities LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like 4170 Securities LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside 4170 Securities LLC.
- Compare firms - put 4170 Securities LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.