CRD #1042 · FINRA BrokerCheck + SEC IAPD

Allen & Company LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Allen & Company LLC ranks #463 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #60 of 868 on the same disclosure sort used on the state browse page. Allen & Company LLC carries 14 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
2
branch offices
14
disclosures
#463 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1042 Allen & Company LLC

Allen & Company LLC · Grade D · 14 disc · 7.00/office · Small firm

  • CRD 1042
  • GRADE D
  • DISC 14
  • REG 14
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 7.00
  • RANK #463 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Ladenburg Thalmann & Co. Inc. (7.14 disc/office)

Ladenburg Thalmann & Co…7.14Natwest Markets Securit…6.71Buckman, Buckman & Reid…7.33Allen & Company LLC (this)7.00
Disclosures per office among small firm peers (lower is cleaner)

Allen & Company LLC ranks #463 of 20,055 by disclosure count among graded broker-dealers; heavy load at 7.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

14 events

On FINRA BrokerCheck

Regulatory events

14 actions

100% of all disclosures

Disclosures per office

7.00 per office

14 ÷ 2 offices

Disclosure Intensity

Disclosures per branch office, the firm's disclosure load relative to its operating footprint.

Allen & Company LLC - disclosures per branch office 100.0%
Typical multi-office firm

Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 14
Arbitrations 0
Civil Events 0
Total 14

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

Disclosure category share

Regulatory 14 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
1042

Regulator-heavy mix

Allen & Company LLC in the heavier-disclosure third

Allen & Company LLC carries 14 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#463 of 20,055). Regulator-initiated events are 100% of the book (14 regulatory / 0 arbitration / 0 civil).

100% of Allen & Company LLC's 14 disclosures are regulator-initiated (14 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.60× state average

Allen & Company LLC sits above the New York disclosure average

Allen & Company LLC reports 14 BrokerCheck disclosures, 1.60× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Allen & Company LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Allen & Company LLC ranks #463 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #60 of 868 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 D mean for Allen & Company LLC?
A grade of D reflects Allen & Company LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 14 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Allen & Company LLC have?
Allen & Company LLC has 14 total FINRA disclosures, including 14 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Allen & Company LLC?
Allen & Company LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in NY (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 Allen & Company LLC's disciplinary record?
You can verify Allen & Company LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1042. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Allen & Company LLC's 14 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Allen & Company 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. Allen & Company LLC carries 14 disclosures across 2 branch offices (about 7.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Allen & Company LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.

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 FINRA BrokerCheck and SEC IAPD 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. Data current as of July 2026.