Branch offices
2 offices
FINRA: Small firm
CRD #35230 · FINRA BrokerCheck + SEC IAPD
Casey Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Casey Securities LLC ranks #296 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #5 of 279 on the same disclosure sort used on the state browse page. Casey Securities LLC carries 20 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 2
- branch offices
- 20
- disclosures
- #296 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 35230 Casey Securities LLC
Casey Securities LLC · Grade D · 20 disc · 10.00/office · Small firm
- CRD 35230
- GRADE D
- DISC 20
- REG 20
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 10.00
- RANK #296 of 20,055
- BOOK Small firm
Nearest same-size peer: Oscar Gruss & SON Incorporated (10.33 disc/office)
Casey Securities LLC ranks #296 of 20,055 by disclosure count among graded broker-dealers; heavy load at 10.00 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
Total disclosures
20 events
On FINRA BrokerCheck
Regulatory events
20 actions
100% of all disclosures
Disclosures per office
10.00 per office
20 ÷ 2 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Casey 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 | 20 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 20 |
Counts for Casey Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 20 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Greenbrae, CA
- CRD Number
- 35230
Regulator-heavy mix
Casey Securities LLC in the heavier-disclosure third
Casey Securities LLC carries 20 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#296 of 20,055). Regulator-initiated events are 100% of the book (20 regulatory / 0 arbitration / 0 civil).
100% of Casey Securities LLC's 20 disclosures are regulator-initiated (20 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Casey Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
California cohort · 9.76× state average
Casey Securities LLC sits above the California disclosure average
Casey Securities LLC reports 20 BrokerCheck disclosures, 9.76× the California average of 2.1 across 279 graded firms with a principal-office state on file.
In California, 189 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 California state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Casey Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Casey Securities LLC ranks #296 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #5 of 279 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 Casey Securities LLC?
A grade of D reflects Casey Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 20 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Casey Securities LLC have?
Casey Securities LLC has 20 total FINRA disclosures, including 20 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Casey Securities LLC?
Casey Securities LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in CA (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 Casey Securities LLC's disciplinary record?
You can verify Casey Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 35230. 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). Casey Securities LLC's 20 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Casey 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. Casey Securities LLC carries 20 disclosures across 2 branch offices (about 10.00 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 Casey Securities LLC, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (20 here).
Read with this firm
- Oscar Gruss & SON Incorporated (NY) - 10.33 disclosures/office, nearest small firm peer to Casey Securities LLC's 10.00
- Apex Clearing Corporation (TX) - 9.50 disclosures/office, nearest small firm peer to Casey Securities LLC's 10.00
- Virtu Americas LLC (NY) - 9.38 disclosures/office, nearest small firm peer to Casey Securities LLC's 10.00
- Firms in CA - state roster that includes Casey Securities LLC's registration home.
- Red Flags in Advisor Records - How to read Casey Securities LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 20 disclosures behind Casey Securities LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Casey Securities LLC.
- Compare firms - put Casey 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.