Branch offices
2 offices
FINRA: Small firm
CRD #148032 · FINRA BrokerCheck + SEC IAPD
East Wind Securities, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, East Wind Securities, LLC ranks #9,154 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #506 of 868 on the same disclosure sort used on the state browse page. East Wind Securities, LLC 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
- #9,154 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 148032 East Wind Securities, LLC
East Wind Securities, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 148032
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #9,154 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
East Wind Securities, LLC ranks #9,154 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
East Wind Securities, LLC 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
- CRD Number
- 148032
Clean BrokerCheck surface
East Wind Securities, LLC's clean BrokerCheck surface
East Wind Securities, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
East Wind Securities, LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of East Wind Securities, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
New York cohort · 0.00× state average
East Wind Securities, LLC sits below the New York disclosure average
East Wind Securities, LLC 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 East Wind Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, East Wind Securities, LLC ranks #9,154 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #506 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 East Wind Securities, LLC?
A grade of A means East Wind Securities, LLC 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 East Wind Securities, LLC have?
East Wind Securities, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is East Wind Securities, LLC?
East Wind Securities, LLC 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 East Wind Securities, LLC's disciplinary record?
You can verify East Wind Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 148032. 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. East Wind Securities, LLC 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 East Wind Securities, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to East Wind Securities, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to East Wind Securities, LLC's 0.00
- Firms in NY - state roster that includes East Wind Securities, LLC's registration home.
- How to Vet a Financial Advisor - Use East Wind Securities, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like East Wind Securities, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside East Wind Securities, LLC.
- Compare firms - put East Wind Securities, LLC 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.