CRD #7081 · FINRA BrokerCheck + SEC IAPD

Doley Securities, LLC.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Doley Securities, LLC. ranks #322 of 20,055 by disclosure count (most disclosures first). Doley Securities, LLC. carries 19 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
19
disclosures
#322 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7081 Doley Securities, LLC.

Doley Securities, LLC. · Grade F · 19 disc · 19.00/office · Single-office firm

  • CRD 7081
  • GRADE F
  • DISC 19
  • REG 19
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #322 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Acap Financial Inc. (19.00 disc/office)

Acap Financial Inc.19.00APS Financial Corporation19.00Baird, Patrick & Co., Inc.19.00Doley Securities, LLC. (this)19.00
Disclosures per office among single-office firm peers (lower is cleaner)

Doley Securities, LLC. ranks #322 of 20,055 by disclosure count among graded broker-dealers; heavy load at 19.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

19 events

On FINRA BrokerCheck

Regulatory events

19 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 19
Arbitrations 0
Civil Events 0
Total 19

Counts for Doley Securities, LLC. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 19 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
7081

Regulator-heavy mix

Doley Securities, LLC. in the heavier-disclosure third

Doley Securities, LLC. carries 19 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#322 of 20,055). Regulator-initiated events are 100% of the book (19 regulatory / 0 arbitration / 0 civil).

100% of Doley Securities, LLC.'s 19 disclosures are regulator-initiated (19 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Doley Securities, LLC.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Doley Securities, LLC. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Doley Securities, LLC. ranks #322 of 20,055 by disclosure count (most disclosures first). 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 Doley Securities, LLC.?
A grade of F reflects Doley Securities, LLC.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 19 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Doley Securities, LLC. have?
Doley Securities, LLC. has 19 total FINRA disclosures, including 19 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Doley Securities, LLC.?
Doley Securities, LLC. operates 0 branch offices and is classified by FINRA as a small firm (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 Doley Securities, LLC.'s disciplinary record?
You can verify Doley Securities, LLC.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7081. 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). Doley Securities, LLC.'s 19 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Doley Securities, 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. Doley Securities, LLC. carries 19 disclosures across 0 branch offices (about 19.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.