CRD #36654 · FINRA BrokerCheck + SEC IAPD

ANZ Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, ANZ Securities, Inc. ranks #1,981 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #162 of 868 on the same disclosure sort used on the state browse page. ANZ Securities, Inc. carries 3 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
3
disclosures
#1,981 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 36654 ANZ Securities, Inc.

ANZ Securities, Inc. · Grade B · 3 disc · 1.50/office · Small firm

  • CRD 36654
  • GRADE B
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.50
  • RANK #1,981 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: ACS Execution Services, LLC (1.50 disc/office)

ACS Execution Services,…1.50Allied Millennial Partn…1.50Archipelago Securities …1.50ANZ Securities, Inc. (this)1.50
Disclosures per office among small firm peers (lower is cleaner)

ANZ Securities, Inc. ranks #1,981 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.50 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

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

1.50 per office

3 ÷ 2 offices

ANZ Securities, Inc. 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 17% 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%). This entry sits in this band. 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 3
Arbitrations 0
Civil Events 0
Total 3

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

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY, 10172-0003
Formed
04/07/1994
State of Formation
New York
CRD Number
36654
SEC Number
47390

Regulator-heavy mix

ANZ Securities, Inc. in the heavier-disclosure third

ANZ Securities, Inc. carries 3 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#1,981 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of ANZ Securities, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.34× state average

ANZ Securities, Inc. sits below the New York disclosure average

ANZ Securities, Inc. reports 3 BrokerCheck disclosures, 0.34× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

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 ANZ Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, ANZ Securities, Inc. ranks #1,981 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #162 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 B mean for ANZ Securities, Inc.?
A grade of B reflects ANZ Securities, Inc.'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 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does ANZ Securities, Inc. have?
ANZ Securities, Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is ANZ Securities, Inc.?
ANZ Securities, Inc. 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 ANZ Securities, Inc.'s disciplinary record?
You can verify ANZ Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36654. 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 ANZ Securities, Inc., the 1.50 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid ANZ Securities, Inc. 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. ANZ Securities, Inc. carries 3 disclosures across 2 branch offices (about 1.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.