Branch offices
1 office
FINRA: Small firm
CRD #31470 · FINRA BrokerCheck + SEC IAPD
D & D Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D & D Securities, Inc. ranks #409 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #9 of 81 on the same disclosure sort used on the state browse page. D & D Securities, Inc. carries 16 BrokerCheck disclosures across 1 branch office - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 1
- branch office
- 16
- disclosures
- #409 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 31470 D & D Securities, Inc.
D & D Securities, Inc. · Grade F · 16 disc · 16.00/office · Single-office firm
- CRD 31470
- GRADE F
- DISC 16
- REG 16
- ARB 0
- CIV 0
- BRANCH 1
- PER-OFF 16.00
- RANK #409 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Bishop, Rosen & Co., Inc. (16.00 disc/office)
D & D Securities, Inc. ranks #409 of 20,055 by disclosure count among graded broker-dealers; heavy load at 16.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
16 events
On FINRA BrokerCheck
Regulatory events
16 actions
100% of all disclosures
Disclosures per office
16.00 per office
16 ÷ 1 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
D & D 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 | 16 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 16 |
Counts for D & D Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 16 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Philadelphia, PA, 19104
- Formed
- 02/19/1991
- State of Formation
- Pennsylvania
- CRD Number
- 31470
- SEC Number
- 44989
Regulator-heavy mix
D & D Securities, Inc. in the heavier-disclosure third
D & D Securities, Inc. carries 16 BrokerCheck disclosures across 1 branch office - a heavier-third raw book among graded firms (#409 of 20,055). Regulator-initiated events are 100% of the book (16 regulatory / 0 arbitration / 0 civil).
100% of D & D Securities, Inc.'s 16 disclosures are regulator-initiated (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of D & D Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Pennsylvania cohort · 2.51× state average
D & D Securities, Inc. sits above the Pennsylvania disclosure average
D & D Securities, Inc. reports 16 BrokerCheck disclosures, 2.51× the Pennsylvania average of 6.4 across 81 graded firms with a principal-office state on file.
In Pennsylvania, 39 firms carry Grade A and 3 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 Pennsylvania state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does D & D Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D & D Securities, Inc. ranks #409 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #9 of 81 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 F mean for D & D Securities, Inc.?
A grade of F reflects D & D Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 16 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does D & D Securities, Inc. have?
D & D Securities, Inc. has 16 total FINRA disclosures, including 16 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is D & D Securities, Inc.?
D & D Securities, Inc. operates 1 branch office and is classified by FINRA as a small firm, registered in PA (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 D & D Securities, Inc.'s disciplinary record?
You can verify D & D Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 31470. 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). D & D Securities, Inc.'s 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid D & D 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. D & D Securities, Inc. carries 16 disclosures across 1 branch office (about 16.00 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 D & D Securities, Inc., both outside PA 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 (16 here).
Read with this firm
- Bishop, Rosen & Co., Inc. - 16.00 disclosures/office, nearest single-office firm peer to D & D Securities, Inc.'s 16.00
- Brookstone Securities, Inc. - 16.00 disclosures/office, nearest single-office firm peer to D & D Securities, Inc.'s 16.00
- Brookville Capital Partners - 16.00 disclosures/office, nearest single-office firm peer to D & D Securities, Inc.'s 16.00
- Firms in PA - state roster that includes D & D Securities, Inc.'s registration home.
- Red Flags in Advisor Records - How to read D & D Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 16 disclosures behind D & D Securities, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as D & D Securities, Inc..
- Compare firms - put D & D 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.