Branch offices
2 offices
FINRA: Small firm
CRD #3013 · FINRA BrokerCheck + SEC IAPD
Colonial Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Colonial Securities, Inc. ranks #611 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #69 of 868 on the same disclosure sort used on the state browse page. Colonial Securities, Inc. carries 11 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 2
- branch offices
- 11
- disclosures
- #611 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 3013 Colonial Securities, Inc.
Colonial Securities, Inc. · Grade D · 11 disc · 5.50/office · Small firm
- CRD 3013
- GRADE D
- DISC 11
- REG 11
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 5.50
- RANK #611 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Liquidnet, Inc. (5.50 disc/office)
Colonial Securities, Inc. ranks #611 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.50 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
11 events
On FINRA BrokerCheck
Regulatory events
11 actions
100% of all disclosures
Disclosures per office
5.50 per office
11 ÷ 2 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Colonial Securities, Inc. - 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 | 11 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 11 |
Counts for Colonial Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY
- CRD Number
- 3013
Regulator-heavy mix
Colonial Securities, Inc. in the heavier-disclosure third
Colonial Securities, Inc. carries 11 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#611 of 20,055). Regulator-initiated events are 100% of the book (11 regulatory / 0 arbitration / 0 civil).
100% of Colonial Securities, Inc.'s 11 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Colonial Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New York cohort · 1.26× state average
Colonial Securities, Inc. sits above the New York disclosure average
Colonial Securities, Inc. reports 11 BrokerCheck disclosures, 1.26× 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 Colonial Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Colonial Securities, Inc. ranks #611 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #69 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 Colonial Securities, Inc.?
A grade of D reflects Colonial Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 11 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Colonial Securities, Inc. have?
Colonial Securities, Inc. has 11 total FINRA disclosures, including 11 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Colonial Securities, Inc.?
Colonial Securities, Inc. operates 2 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 Colonial Securities, Inc.'s disciplinary record?
You can verify Colonial Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3013. 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). Colonial Securities, Inc.'s 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Colonial Securities, Inc. 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. Colonial Securities, Inc. carries 11 disclosures across 2 branch offices (about 5.50 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 Colonial Securities, Inc., both outside NY 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 (11 here).
Read with this firm
- Liquidnet, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Colonial Securities, Inc.'s 5.50
- Sunset Financial Services, Inc. (MO) - 5.50 disclosures/office, nearest small firm peer to Colonial Securities, Inc.'s 5.50
- GTS Securities LLC (FL) - 5.43 disclosures/office, nearest small firm peer to Colonial Securities, Inc.'s 5.50
- Firms in NY - state roster that includes Colonial Securities, Inc.'s registration home.
- Red Flags in Advisor Records - How to read Colonial Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 11 disclosures behind Colonial Securities, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Colonial Securities, Inc..
- Compare firms - put Colonial Securities, Inc. 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.