CRD #136131 · FINRA BrokerCheck + SEC IAPD

Ally Invest Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ally Invest Securities LLC ranks #1,971 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #9 of 55 on the same disclosure sort used on the state browse page. Ally Invest Securities LLC carries 3 BrokerCheck disclosures across 7 branch offices - moderate load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
7
branch offices
3
disclosures
#1,971 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 136131 Ally Invest Securities LLC

Ally Invest Securities LLC · Grade C · 3 disc · 0.43/office · Small firm

  • CRD 136131
  • GRADE C
  • DISC 3
  • REG 2
  • ARB 1
  • CIV 0
  • BRANCH 7
  • PER-OFF 0.43
  • RANK #1,971 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Delaware Distributors, L.P. (0.43 disc/office)

Delaware Distributors, …0.43Deloitte Corporate Fina…0.43U.S. Brokerage, Inc.0.43Ally Invest Securit… (this)0.43
Disclosures per office among small firm peers (lower is cleaner)

Ally Invest Securities LLC ranks #1,971 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.43 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

7 offices

FINRA: Medium firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

2 actions

67% of all disclosures

Disclosures per office

0.43 per office

3 ÷ 7 offices

Ally Invest Securities LLC vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 63% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 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 2
Arbitrations 1
Civil Events 0
Total 3

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

Disclosure category share

Regulatory 2 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Charlotte, NC
CRD Number
136131

Heavy disclosure book

Ally Invest Securities LLC in the heavier-disclosure third

Ally Invest Securities LLC carries 3 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#1,971 of 20,055). Regulator-initiated events are 67% of the book (2 regulatory / 1 arbitration / 0 civil).

Ally Invest Securities LLC ranks #1,971 of 20,055 by BrokerCheck disclosure count among graded firms (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

North Carolina cohort · 0.70× state average

Ally Invest Securities LLC tracks near the North Carolina disclosure average

Ally Invest Securities LLC reports 3 BrokerCheck disclosures, about 0.70× the North Carolina average of 4.3 across 55 graded firms.

In North Carolina, 31 firms carry Grade A and 0 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 North Carolina state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Ally Invest Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ally Invest Securities LLC ranks #1,971 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #9 of 55 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 C mean for Ally Invest Securities LLC?
A grade of C reflects Ally Invest Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 3 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Ally Invest Securities LLC have?
Ally Invest Securities LLC has 3 total FINRA disclosures, including 2 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ally Invest Securities LLC?
Ally Invest Securities LLC operates 7 branch offices and is classified by FINRA as a medium firm, registered in NC (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 Ally Invest Securities LLC's disciplinary record?
You can verify Ally Invest Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 136131. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Ally Invest 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. Ally Invest Securities LLC carries 3 disclosures across 7 branch offices (about 0.43 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 Ally Invest Securities LLC, both outside NC 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.