CRD #1020 · FINRA BrokerCheck + SEC IAPD

Canaccord Genuity LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Canaccord Genuity LLC ranks #102 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #22 of 868 on the same disclosure sort used on the state browse page. Canaccord Genuity LLC carries 48 BrokerCheck disclosures across 50 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
50
branch offices
48
disclosures
#102 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1020 Canaccord Genuity LLC

Canaccord Genuity LLC · Grade C · 48 disc · 0.96/office · Mid-sized firm

  • CRD 1020
  • GRADE C
  • DISC 48
  • REG 48
  • ARB 0
  • CIV 0
  • BRANCH 50
  • PER-OFF 0.96
  • RANK #102 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Truist Securities, Inc. (0.92 disc/office)

Truist Securities, Inc.0.92Ingalls & Snyder, LLC0.90Hilltop Securities Inc.0.90Canaccord Genuity LLC (this)0.96
Disclosures per office among mid-sized firm peers (lower is cleaner)

Canaccord Genuity LLC ranks #102 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.96 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

50 offices

FINRA: Medium firm

Total disclosures

48 events

On FINRA BrokerCheck

Regulatory events

48 actions

100% of all disclosures

Disclosures per office

0.96 per office

48 ÷ 50 offices

Canaccord Genuity LLC vs. every disclosing firm

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

1 a cleaner per-office record than 35% 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%). This entry sits in this band. 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 48
Arbitrations 0
Civil Events 0
Total 48

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

Disclosure category share

Regulatory 48 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY
CRD Number
1020

Regulator-heavy mix

Canaccord Genuity LLC in the heavier-disclosure third

Canaccord Genuity LLC carries 48 BrokerCheck disclosures across 50 branch offices - a heavier-third raw book among graded firms (#102 of 20,055). Regulator-initiated events are 100% of the book (48 regulatory / 0 arbitration / 0 civil).

100% of Canaccord Genuity LLC's 48 disclosures are regulator-initiated (48 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 5.49× state average

Canaccord Genuity LLC sits above the New York disclosure average

Canaccord Genuity LLC reports 48 BrokerCheck disclosures, 5.49× 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 Canaccord Genuity LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Canaccord Genuity LLC ranks #102 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #22 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 C mean for Canaccord Genuity LLC?
A grade of C reflects Canaccord Genuity LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 48 total disclosures across 50 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Canaccord Genuity LLC have?
Canaccord Genuity LLC has 48 total FINRA disclosures, including 48 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Canaccord Genuity LLC?
Canaccord Genuity LLC operates 50 branch offices and is classified by FINRA as a medium firm, registered in NY (Mid-sized 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 Canaccord Genuity LLC's disciplinary record?
You can verify Canaccord Genuity LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1020. 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). Canaccord Genuity LLC's 48 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Canaccord Genuity 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. Canaccord Genuity LLC carries 48 disclosures across 50 branch offices (about 0.96 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 Canaccord Genuity 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

  • Truist Securities, Inc. (GA) - 0.92 disclosures/office, nearest mid-sized firm peer to Canaccord Genuity LLC's 0.96
  • Ingalls & Snyder, LLC (NY) - 0.90 disclosures/office, nearest mid-sized firm peer to Canaccord Genuity LLC's 0.96
  • Hilltop Securities Inc. (TX) - 0.90 disclosures/office, nearest mid-sized firm peer to Canaccord Genuity LLC's 0.96
  • Firms in NY - state roster that includes Canaccord Genuity LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Canaccord Genuity LLC.
  • Reading BrokerCheck Reports - How Canaccord Genuity LLC's 0.96 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Canaccord Genuity LLC.
  • Compare firms - put Canaccord Genuity 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.