CRD #149758 · FINRA BrokerCheck + SEC IAPD

Cohen & Company Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cohen & Company Securities, LLC ranks #1,154 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #114 of 868 on the same disclosure sort used on the state browse page. Cohen & Company Securities, LLC carries 6 BrokerCheck disclosures across 8 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
8
branch offices
6
disclosures
#1,154 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 149758 Cohen & Company Securities, LLC

Cohen & Company Securities, LLC · Grade B · 6 disc · 0.75/office · Small firm

  • CRD 149758
  • GRADE B
  • DISC 6
  • REG 6
  • ARB 0
  • CIV 0
  • BRANCH 8
  • PER-OFF 0.75
  • RANK #1,154 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Carl M. Hennig, Inc. (0.75 disc/office)

Carl M. Hennig, Inc.0.75Dorn & Co., Inc.0.75Drexel Hamilton, LLC0.75Cohen & Company Sec… (this)0.75
Disclosures per office among small firm peers (lower is cleaner)

Cohen & Company Securities, LLC ranks #1,154 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.75 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

8 offices

FINRA: Small firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

6 actions

100% of all disclosures

Disclosures per office

0.75 per office

6 ÷ 8 offices

Cohen & Company Securities, 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 37% 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 6
Arbitrations 0
Civil Events 0
Total 6

Counts for Cohen & Company Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
149758

Regulator-heavy mix

Cohen & Company Securities, LLC in the heavier-disclosure third

Cohen & Company Securities, LLC carries 6 BrokerCheck disclosures across 8 branch offices - a heavier-third raw book among graded firms (#1,154 of 20,055). Regulator-initiated events are 100% of the book (6 regulatory / 0 arbitration / 0 civil).

100% of Cohen & Company Securities, LLC's 6 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.69× state average

Cohen & Company Securities, LLC tracks near the New York disclosure average

Cohen & Company Securities, LLC reports 6 BrokerCheck disclosures, about 0.69× the New York average of 8.7 across 868 graded firms.

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 Cohen & Company Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cohen & Company Securities, LLC ranks #1,154 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #114 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 B mean for Cohen & Company Securities, LLC?
A grade of B reflects Cohen & Company Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 6 total disclosures across 8 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Cohen & Company Securities, LLC have?
Cohen & Company Securities, LLC has 6 total FINRA disclosures, including 6 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Cohen & Company Securities, LLC?
Cohen & Company Securities, LLC operates 8 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 Cohen & Company Securities, LLC's disciplinary record?
You can verify Cohen & Company Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 149758. 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). Cohen & Company Securities, LLC's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Cohen & Company 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. Cohen & Company Securities, LLC carries 6 disclosures across 8 branch offices (about 0.75 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 Cohen & Company Securities, 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

  • Carl M. Hennig, Inc. (WI) - 0.75 disclosures/office, nearest small firm peer to Cohen & Company Securities, LLC's 0.75
  • Dorn & Co., Inc. (MN) - 0.75 disclosures/office, nearest small firm peer to Cohen & Company Securities, LLC's 0.75
  • Drexel Hamilton, LLC (NY) - 0.75 disclosures/office, nearest small firm peer to Cohen & Company Securities, LLC's 0.75
  • Firms in NY - state roster that includes Cohen & Company Securities, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Cohen & Company Securities, LLC.
  • Reading BrokerCheck Reports - How Cohen & Company Securities, LLC's 0.75 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Cohen & Company Securities, LLC.
  • Compare firms - put Cohen & Company 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.