CRD #2625 · FINRA BrokerCheck + SEC IAPD

Bernard L. Madoff Investment Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Bernard L. Madoff Investment Securities LLC ranks #661 of 20,055 by disclosure count (most disclosures first). Bernard L. Madoff Investment Securities LLC carries 10 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade C.

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Grade C
Safety grade
2
branch offices
10
disclosures
#661 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2625 Bernard L. Madoff Investment Securities LLC

Bernard L. Madoff Investment Securities LLC · Grade C · 10 disc · 5.00/office · Small firm

  • CRD 2625
  • GRADE C
  • DISC 10
  • REG 9
  • ARB 0
  • CIV 1
  • BRANCH 2
  • PER-OFF 5.00
  • RANK #661 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Axiom Capital Management, Inc. (5.00 disc/office)

Axiom Capital Managemen…5.00First Honolulu Securiti…5.00Kensington Capital Corp.5.00Bernard L. Madoff I… (this)5.00
Disclosures per office among small firm peers (lower is cleaner)

Bernard L. Madoff Investment Securities LLC ranks #661 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.00 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

2 offices

FINRA: Small firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

9 actions

90% of all disclosures

Disclosures per office

5.00 per office

10 ÷ 2 offices

Disclosure Intensity

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

Bernard L. Madoff Investment Securities 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 9
Arbitrations 0
Civil Events 1
Total 10

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

Disclosure category share

Regulatory 9 Arbitration 0 Civil 1

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
2625

Regulator-heavy mix

Bernard L. Madoff Investment Securities LLC in the heavier-disclosure third

Bernard L. Madoff Investment Securities LLC carries 10 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#661 of 20,055). Regulator-initiated events are 90% of the book (9 regulatory / 0 arbitration / 1 civil).

90% of Bernard L. Madoff Investment Securities LLC's 10 disclosures are regulator-initiated (9 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Bernard L. Madoff Investment Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Bernard L. Madoff Investment Securities LLC ranks #661 of 20,055 by disclosure count (most disclosures first). 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 Bernard L. Madoff Investment Securities LLC?
A grade of C reflects Bernard L. Madoff Investment Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 10 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Bernard L. Madoff Investment Securities LLC have?
Bernard L. Madoff Investment Securities LLC has 10 total FINRA disclosures, including 9 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Bernard L. Madoff Investment Securities LLC?
Bernard L. Madoff Investment Securities LLC operates 2 branch offices and is classified by FINRA as a small firm (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 Bernard L. Madoff Investment Securities LLC's disciplinary record?
You can verify Bernard L. Madoff Investment Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2625. 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). Bernard L. Madoff Investment Securities LLC's 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Bernard L. Madoff Investment 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. Bernard L. Madoff Investment Securities LLC carries 10 disclosures across 2 branch offices (about 5.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Axiom Capital Management, Inc. (NY) - 5.00 disclosures/office, nearest small firm peer to Bernard L. Madoff Investment Securities LLC's 5.00
  • First Honolulu Securities, Inc. (HI) - 5.00 disclosures/office, nearest small firm peer to Bernard L. Madoff Investment Securities LLC's 5.00
  • Kensington Capital Corp. (NY) - 5.00 disclosures/office, nearest small firm peer to Bernard L. Madoff Investment Securities LLC's 5.00
  • Red Flags in Advisor Records - How to read Bernard L. Madoff Investment Securities LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 10 disclosures behind Bernard L. Madoff Investment Securities LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Bernard L. Madoff Investment Securities LLC.
  • Compare firms - put Bernard L. Madoff Investment 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.