Branch offices
3 offices
FINRA: Small firm
CRD #104031 · FINRA BrokerCheck + SEC IAPD
Dash Financial Technologies LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dash Financial Technologies LLC ranks #67 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #2 of 200 on the same disclosure sort used on the state browse page. Dash Financial Technologies LLC carries 69 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade F.
- Grade F
- Safety grade
- 3
- branch offices
- 69
- disclosures
- #67 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 104031 Dash Financial Technologies LLC
Dash Financial Technologies LLC · Grade F · 69 disc · 23.00/office · Small firm
- CRD 104031
- GRADE F
- DISC 69
- REG 69
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 23.00
- RANK #67 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: SG Americas Securities, LLC (23.00 disc/office)
Dash Financial Technologies LLC ranks #67 of 20,055 by disclosure count among graded broker-dealers; heavy load at 23.00 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
69 events
On FINRA BrokerCheck
Regulatory events
69 actions
100% of all disclosures
Disclosures per office
23.00 per office
69 ÷ 3 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Dash Financial Technologies LLC - 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 | 69 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 69 |
Counts for Dash Financial Technologies LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 69 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Chicago, IL
- CRD Number
- 104031
Regulator-heavy mix
Dash Financial Technologies LLC in the heavier-disclosure third
Dash Financial Technologies LLC carries 69 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#67 of 20,055). Regulator-initiated events are 100% of the book (69 regulatory / 0 arbitration / 0 civil).
100% of Dash Financial Technologies LLC's 69 disclosures are regulator-initiated (69 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Dash Financial Technologies LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Illinois cohort · 14× state average
Dash Financial Technologies LLC sits above the Illinois disclosure average
Dash Financial Technologies LLC reports 69 BrokerCheck disclosures, 14× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.
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 Dash Financial Technologies LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dash Financial Technologies LLC ranks #67 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #2 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 F mean for Dash Financial Technologies LLC?
A grade of F reflects Dash Financial Technologies LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 69 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Dash Financial Technologies LLC have?
Dash Financial Technologies LLC has 69 total FINRA disclosures, including 69 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Dash Financial Technologies LLC?
Dash Financial Technologies LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in IL (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 Dash Financial Technologies LLC's disciplinary record?
You can verify Dash Financial Technologies LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 104031. 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). Dash Financial Technologies LLC's 69 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Dash Financial Technologies 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. Dash Financial Technologies LLC carries 69 disclosures across 3 branch offices (about 23.00 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 Dash Financial Technologies LLC, both outside IL 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 (69 here).
Read with this firm
- SG Americas Securities, LLC (NY) - 23.00 disclosures/office, nearest small firm peer to Dash Financial Technologies LLC's 23.00
- Wolverine Execution Services, LLC (IL) - 21.50 disclosures/office, nearest small firm peer to Dash Financial Technologies LLC's 23.00
- Ibkr Securities Services LLC (CT) - 21.00 disclosures/office, nearest small firm peer to Dash Financial Technologies LLC's 23.00
- Firms in IL - state roster that includes Dash Financial Technologies LLC's registration home.
- Red Flags in Advisor Records - How to read Dash Financial Technologies LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 69 disclosures behind Dash Financial Technologies LLC's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Dash Financial Technologies LLC.
- Compare firms - put Dash Financial Technologies 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.