CRD #167980 · FINRA BrokerCheck + SEC IAPD

Aldwych Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Aldwych Securities LLC ranks #1,596 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #12 of 111 on the same disclosure sort used on the state browse page. Aldwych Securities LLC carries 4 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
4
disclosures
#1,596 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 167980 Aldwych Securities LLC

Aldwych Securities LLC · Grade B · 4 disc · 2.00/office · Small firm

  • CRD 167980
  • GRADE B
  • DISC 4
  • REG 4
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 2.00
  • RANK #1,596 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: A. R. Schmeidler & Co., Inc. (2.00 disc/office)

A. R. Schmeidler & Co.,…2.00AEI Securities, Inc.2.00Bright Trading, LLC2.00Aldwych Securities LLC (this)2.00
Disclosures per office among small firm peers (lower is cleaner)

Aldwych Securities LLC ranks #1,596 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

Branch offices

2 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

4 actions

100% of all disclosures

Disclosures per office

2.00 per office

4 ÷ 2 offices

Aldwych Securities LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 10% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). This entry sits in this band. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 0
Civil Events 0
Total 4

Counts for Aldwych Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Stamford, CT
CRD Number
167980

Regulator-heavy mix

Aldwych Securities LLC in the heavier-disclosure third

Aldwych Securities LLC carries 4 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#1,596 of 20,055). Regulator-initiated events are 100% of the book (4 regulatory / 0 arbitration / 0 civil).

100% of Aldwych Securities LLC's 4 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Aldwych Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Connecticut cohort · 1.13× state average

Aldwych Securities LLC tracks near the Connecticut disclosure average

Aldwych Securities LLC reports 4 BrokerCheck disclosures, about 1.13× the Connecticut average of 3.5 across 111 graded firms.

In Connecticut, 76 firms carry Grade A and 2 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 Connecticut state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Aldwych Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Aldwych Securities LLC ranks #1,596 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #12 of 111 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 B mean for Aldwych Securities LLC?
A grade of B reflects Aldwych Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 4 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Aldwych Securities LLC have?
Aldwych Securities LLC has 4 total FINRA disclosures, including 4 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Aldwych Securities LLC?
Aldwych Securities LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in CT (Small 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 Aldwych Securities LLC's disciplinary record?
You can verify Aldwych Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 167980. 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 BrokerCheck. For Aldwych Securities LLC, the 2.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Aldwych Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Aldwych Securities LLC carries 4 disclosures across 2 branch offices (about 2.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • A. R. Schmeidler & Co., Inc. - 2.00 disclosures/office, nearest small firm peer to Aldwych Securities LLC's 2.00
  • AEI Securities, Inc. (MN) - 2.00 disclosures/office, nearest small firm peer to Aldwych Securities LLC's 2.00
  • Bright Trading, LLC (NV) - 2.00 disclosures/office, nearest small firm peer to Aldwych Securities LLC's 2.00
  • Firms in CT - state roster that includes Aldwych Securities LLC's registration home.
  • Red Flags in Advisor Records - How to read Aldwych Securities LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 4 disclosures behind Aldwych Securities LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Aldwych Securities LLC.
  • Compare firms - put Aldwych Securities LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.