Branch offices
0 offices
FINRA: Small firm
CRD #7344 · FINRA BrokerCheck + SEC IAPD
Dominick & Dickerman LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dominick & Dickerman LLC ranks #154 of 20,055 by disclosure count (most disclosures first). Dominick & Dickerman LLC carries 34 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 34
- disclosures
- #154 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 7344 Dominick & Dickerman LLC
Dominick & Dickerman LLC · Grade F · 34 disc · 34.00/office · Single-office firm
- CRD 7344
- GRADE F
- DISC 34
- REG 23
- ARB 11
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #154 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: DB Alex. Brown LLC (34.00 disc/office)
Dominick & Dickerman LLC ranks #154 of 20,055 by disclosure count among graded broker-dealers; heavy load at 34.00 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
34 events
On FINRA BrokerCheck
Regulatory events
23 actions
68% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 23 |
| Arbitrations | 11 |
| Civil Events | 0 |
| Total | 34 |
Counts for Dominick & Dickerman LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 23 Arbitration 11 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 09/30/1998
- State of Formation
- Delaware
- CRD Number
- 7344
- SEC Number
- 21076
Heavy disclosure book
Dominick & Dickerman LLC in the heavier-disclosure third
Dominick & Dickerman LLC carries 34 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#154 of 20,055). Regulator-initiated events are 68% of the book (23 regulatory / 11 arbitration / 0 civil).
Dominick & Dickerman LLC ranks #154 of 20,055 by BrokerCheck disclosure count among graded firms (34 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Dominick & Dickerman 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 Dominick & Dickerman LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dominick & Dickerman LLC ranks #154 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 Dominick & Dickerman LLC?
A grade of F reflects Dominick & Dickerman LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 34 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Dominick & Dickerman LLC have?
Dominick & Dickerman LLC has 34 total FINRA disclosures, including 23 regulatory events, 11 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Dominick & Dickerman LLC?
Dominick & Dickerman 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 Dominick & Dickerman LLC's disciplinary record?
You can verify Dominick & Dickerman LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7344. 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). Dominick & Dickerman LLC's 34 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Dominick & Dickerman 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. Dominick & Dickerman LLC carries 34 disclosures across 0 branch offices (about 34.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- DB Alex. Brown LLC - 34.00 disclosures/office, nearest single-office firm peer to Dominick & Dickerman LLC's 34.00
- Deutsche IXE, LLC - 34.00 disclosures/office, nearest single-office firm peer to Dominick & Dickerman LLC's 34.00
- First Allied Securities, Inc. - 34.00 disclosures/office, nearest single-office firm peer to Dominick & Dickerman LLC's 34.00
- Red Flags in Advisor Records - How to read Dominick & Dickerman LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 34 disclosures behind Dominick & Dickerman LLC's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Dominick & Dickerman LLC.
- Compare firms - put Dominick & Dickerman 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.