CRD #17007 · FINRA BrokerCheck + SEC IAPD

Financial Northeastern Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Financial Northeastern Securities, LLC ranks #1,704 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #24 of 114 on the same disclosure sort used on the state browse page. Financial Northeastern Securities, LLC carries 4 BrokerCheck disclosures across 12 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
12
branch offices
4
disclosures
#1,704 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 17007 Financial Northeastern Securities, LLC

Financial Northeastern Securities, LLC · Grade B · 4 disc · 0.33/office · Regional firm

  • CRD 17007
  • GRADE B
  • DISC 4
  • REG 4
  • ARB 0
  • CIV 0
  • BRANCH 12
  • PER-OFF 0.33
  • RANK #1,704 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Dunham (0.33 disc/office)

Dunham0.33Syndicated Capital, Inc.0.33Robinhood Securities, LLC0.36Financial Northeast… (this)0.33
Disclosures per office among regional firm peers (lower is cleaner)

Financial Northeastern Securities, LLC ranks #1,704 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.33 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

12 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

4 actions

100% of all disclosures

Disclosures per office

0.33 per office

4 ÷ 12 offices

Financial Northeastern Securities, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 71% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 0
Civil Events 0
Total 4

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

Disclosure category share

Regulatory 4 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Fairfield, NJ
CRD Number
17007

Regulator-heavy mix

Financial Northeastern Securities, LLC in the heavier-disclosure third

Financial Northeastern Securities, LLC carries 4 BrokerCheck disclosures across 12 branch offices - a heavier-third raw book among graded firms (#1,704 of 20,055). Regulator-initiated events are 100% of the book (4 regulatory / 0 arbitration / 0 civil).

100% of Financial Northeastern Securities, LLC's 4 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New Jersey cohort · 0.31× state average

Financial Northeastern Securities, LLC sits below the New Jersey disclosure average

Financial Northeastern Securities, LLC reports 4 BrokerCheck disclosures, 0.31× the New Jersey average of 12.9, lighter than most of the 114 graded firms filed there.

In New Jersey, 50 firms carry Grade A and 2 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 Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Financial Northeastern Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Financial Northeastern Securities, LLC ranks #1,704 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #24 of 114 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 B mean for Financial Northeastern Securities, LLC?
A grade of B reflects Financial Northeastern Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 4 total disclosures across 12 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Financial Northeastern Securities, LLC have?
Financial Northeastern Securities, LLC has 4 total FINRA disclosures, including 4 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Financial Northeastern Securities, LLC?
Financial Northeastern Securities, LLC operates 12 branch offices and is classified by FINRA as a small firm, registered in NJ (Regional 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 Financial Northeastern Securities, LLC's disciplinary record?
You can verify Financial Northeastern Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17007. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Financial Northeastern 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. Financial Northeastern Securities, LLC carries 4 disclosures across 12 branch offices (about 0.33 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 Financial Northeastern Securities, LLC, both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Dunham (CA) - 0.33 disclosures/office, nearest regional firm peer to Financial Northeastern Securities, LLC's 0.33
  • Syndicated Capital, Inc. (CA) - 0.33 disclosures/office, nearest regional firm peer to Financial Northeastern Securities, LLC's 0.33
  • Robinhood Securities, LLC (FL) - 0.36 disclosures/office, nearest regional firm peer to Financial Northeastern Securities, LLC's 0.33
  • Firms in NJ - state roster that includes Financial Northeastern Securities, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Financial Northeastern Securities, LLC.
  • Reading BrokerCheck Reports - How Financial Northeastern Securities, LLC's 0.33 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Financial Northeastern Securities, LLC.
  • Compare firms - put Financial Northeastern Securities, 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.