CRD #19801 · FINRA BrokerCheck + SEC IAPD

BGC Financial, L.P.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BGC Financial, L.P. ranks #142 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #29 of 868 on the same disclosure sort used on the state browse page. BGC Financial, L.P. carries 36 BrokerCheck disclosures across 13 branch offices - elevated load for a regional firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
13
branch offices
36
disclosures
#142 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 19801 BGC Financial, L.P.

BGC Financial, L.P. · Grade D · 36 disc · 2.77/office · Regional firm

  • CRD 19801
  • GRADE D
  • DISC 36
  • REG 36
  • ARB 0
  • CIV 0
  • BRANCH 13
  • PER-OFF 2.77
  • RANK #142 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: GFI Securities LLC (2.73 disc/office)

GFI Securities LLC2.73Garden State Securities…2.70Needham & Company, LLC2.45BGC Financial, L.P. (this)2.77
Disclosures per office among regional firm peers (lower is cleaner)

BGC Financial, L.P. ranks #142 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.77 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

13 offices

FINRA: Medium firm

Total disclosures

36 events

On FINRA BrokerCheck

Regulatory events

36 actions

100% of all disclosures

Disclosures per office

2.77 per office

36 ÷ 13 offices

BGC Financial, L.P. vs. every disclosing firm

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

3 a cleaner per-office record than 6% 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%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). This entry sits in this band. 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 36
Arbitrations 0
Civil Events 0
Total 36

Counts for BGC Financial, L.P. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 36 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10004
Formed
04/02/2008
State of Formation
Delaware
CRD Number
19801
SEC Number
39012

Regulator-heavy mix

BGC Financial, L.P. in the heavier-disclosure third

BGC Financial, L.P. carries 36 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#142 of 20,055). Regulator-initiated events are 100% of the book (36 regulatory / 0 arbitration / 0 civil).

100% of BGC Financial, L.P.'s 36 disclosures are regulator-initiated (36 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of BGC Financial, L.P.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 4.12× state average

BGC Financial, L.P. sits above the New York disclosure average

BGC Financial, L.P. reports 36 BrokerCheck disclosures, 4.12× 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 BGC Financial, L.P. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BGC Financial, L.P. ranks #142 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #29 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 BGC Financial, L.P.?
A grade of D reflects BGC Financial, L.P.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 36 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does BGC Financial, L.P. have?
BGC Financial, L.P. has 36 total FINRA disclosures, including 36 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is BGC Financial, L.P.?
BGC Financial, L.P. operates 13 branch offices and is classified by FINRA as a medium firm, registered in NY (Regional 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 BGC Financial, L.P.'s disciplinary record?
You can verify BGC Financial, L.P.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 19801. 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). BGC Financial, L.P.'s 36 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid BGC Financial, L.P. 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. BGC Financial, L.P. carries 36 disclosures across 13 branch offices (about 2.77 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 BGC Financial, L.P., 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.