CRD #120128 · FINRA BrokerCheck + SEC IAPD

Chardan Capital Markets LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Chardan Capital Markets LLC ranks #472 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #61 of 868 on the same disclosure sort used on the state browse page. Chardan Capital Markets LLC carries 14 BrokerCheck disclosures across 4 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4
branch offices
14
disclosures
#472 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 120128 Chardan Capital Markets LLC

Chardan Capital Markets LLC · Grade C · 14 disc · 3.50/office · Small firm

  • CRD 120128
  • GRADE C
  • DISC 14
  • REG 14
  • ARB 0
  • CIV 0
  • BRANCH 4
  • PER-OFF 3.50
  • RANK #472 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Axos Clearing LLC (3.50 disc/office)

Axos Clearing LLC3.50Chimera Securities, LLC3.50Corporate Investments G…3.50Chardan Capital Mar… (this)3.50
Disclosures per office among small firm peers (lower is cleaner)

Chardan Capital Markets LLC ranks #472 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.50 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

4 offices

FINRA: Small firm

Total disclosures

14 events

On FINRA BrokerCheck

Regulatory events

14 actions

100% of all disclosures

Disclosures per office

3.50 per office

14 ÷ 4 offices

Chardan Capital Markets LLC vs. every disclosing firm

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

4 a cleaner per-office record than 2% 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%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). This entry sits in this band. 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 14
Arbitrations 0
Civil Events 0
Total 14

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

Disclosure category share

Regulatory 14 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
120128

Regulator-heavy mix

Chardan Capital Markets LLC in the heavier-disclosure third

Chardan Capital Markets LLC carries 14 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#472 of 20,055). Regulator-initiated events are 100% of the book (14 regulatory / 0 arbitration / 0 civil).

100% of Chardan Capital Markets LLC's 14 disclosures are regulator-initiated (14 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.60× state average

Chardan Capital Markets LLC sits above the New York disclosure average

Chardan Capital Markets LLC reports 14 BrokerCheck disclosures, 1.60× 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 Chardan Capital Markets LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Chardan Capital Markets LLC ranks #472 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #61 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 Chardan Capital Markets LLC?
A grade of C reflects Chardan Capital Markets LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 14 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Chardan Capital Markets LLC have?
Chardan Capital Markets LLC has 14 total FINRA disclosures, including 14 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Chardan Capital Markets LLC?
Chardan Capital Markets LLC operates 4 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 Chardan Capital Markets LLC's disciplinary record?
You can verify Chardan Capital Markets LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 120128. 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). Chardan Capital Markets LLC's 14 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Chardan Capital Markets 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. Chardan Capital Markets LLC carries 14 disclosures across 4 branch offices (about 3.50 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 Chardan Capital Markets 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

  • Axos Clearing LLC (NE) - 3.50 disclosures/office, nearest small firm peer to Chardan Capital Markets LLC's 3.50
  • Chimera Securities, LLC (NY) - 3.50 disclosures/office, nearest small firm peer to Chardan Capital Markets LLC's 3.50
  • Corporate Investments Group, Inc. (IL) - 3.50 disclosures/office, nearest small firm peer to Chardan Capital Markets LLC's 3.50
  • Firms in NY - state roster that includes Chardan Capital Markets LLC's registration home.
  • Red Flags in Advisor Records - How to read Chardan Capital Markets LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 14 disclosures behind Chardan Capital Markets LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Chardan Capital Markets LLC.
  • Compare firms - put Chardan Capital Markets 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.