Branch offices
2 offices
FINRA: Small firm
CRD #156378 · FINRA BrokerCheck + SEC IAPD
D/B/a Palazzo
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D/B/a Palazzo ranks #8,635 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #490 of 868 on the same disclosure sort used on the state browse page. D/B/a Palazzo has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #8,635 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 156378 D/B/a Palazzo
D/B/a Palazzo · Grade A · 0 disc · 0.00/office · Small firm
- CRD 156378
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #8,635 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
D/B/a Palazzo ranks #8,635 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 ÷ 2 offices
Clean disclosure surface
D/B/a Palazzo has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY, 10019
- Formed
- 01/10/2011
- State of Formation
- New York
- CRD Number
- 156378
- SEC Number
- 68792
Clean BrokerCheck surface
D/B/a Palazzo's clean BrokerCheck surface
D/B/a Palazzo shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
D/B/a Palazzo shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of D/B/a Palazzo's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
New York cohort · 0.00× state average
D/B/a Palazzo sits below the New York disclosure average
D/B/a Palazzo reports 0 BrokerCheck disclosures, 0.00× the New York average of 8.7, lighter than most of the 868 graded firms filed there.
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 D/B/a Palazzo sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D/B/a Palazzo ranks #8,635 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #490 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 A mean for D/B/a Palazzo?
A grade of A means D/B/a Palazzo 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 D/B/a Palazzo have?
D/B/a Palazzo has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is D/B/a Palazzo?
D/B/a Palazzo 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 D/B/a Palazzo's disciplinary record?
You can verify D/B/a Palazzo's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 156378. 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. D/B/a Palazzo currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to D/B/a Palazzo's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to D/B/a Palazzo's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to D/B/a Palazzo's 0.00
- Firms in NY - state roster that includes D/B/a Palazzo's registration home.
- How to Vet a Financial Advisor - Use D/B/a Palazzo's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like D/B/a Palazzo's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside D/B/a Palazzo.
- Compare firms - put D/B/a Palazzo 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.