Branch offices
1 office
FINRA: Small firm
CRD #13970 · FINRA BrokerCheck + SEC IAPD
Cumberland Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cumberland Securities LLC ranks #8,448 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #129 of 200 on the same disclosure sort used on the state browse page. Cumberland Securities LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 1 branch office, earning a Grade A.
- Grade A
- Safety grade
- 1
- branch office
- 0
- disclosures
- #8,448 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13970 Cumberland Securities LLC
Cumberland Securities LLC · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 13970
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 1
- PER-OFF 0.00
- RANK #8,448 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Cumberland Securities LLC ranks #8,448 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 1 offices
Clean disclosure surface
Cumberland Securities LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 1 branch office (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Chicago, IL
- CRD Number
- 13970
Clean BrokerCheck surface
Cumberland Securities LLC's clean BrokerCheck surface
Cumberland Securities LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 1 branch office (Grade A).
Cumberland Securities LLC shows zero reportable disclosures across 1 branch office in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Cumberland Securities LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Illinois cohort · 0.00× state average
Cumberland Securities LLC sits below the Illinois disclosure average
Cumberland Securities LLC reports 0 BrokerCheck disclosures, 0.00× the Illinois average of 5.1, lighter than most of the 200 graded firms filed there.
In Illinois, 99 firms carry Grade A and 8 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 Illinois state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Cumberland Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cumberland Securities LLC ranks #8,448 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #129 of 200 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 A mean for Cumberland Securities LLC?
A grade of A means Cumberland Securities LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Cumberland Securities LLC have?
Cumberland Securities LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Cumberland Securities LLC?
Cumberland Securities LLC operates 1 branch office and is classified by FINRA as a small firm, registered in IL (Single-office 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 Cumberland Securities LLC's disciplinary record?
You can verify Cumberland Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13970. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Cumberland Securities LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Cumberland Securities LLC's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Cumberland Securities LLC's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Cumberland Securities LLC's 0.00
- Firms in IL - state roster that includes Cumberland Securities LLC's registration home.
- How to Vet a Financial Advisor - Use Cumberland Securities LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Cumberland Securities LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Cumberland Securities LLC.
- Compare firms - put Cumberland Securities LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.