Branch offices
0 offices
FINRA: Small firm
CRD #13755 · FINRA BrokerCheck + SEC IAPD
First Montauk Securities Corp.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Montauk Securities Corp. ranks #91 of 20,055 by disclosure count (most disclosures first). First Montauk Securities Corp. carries 53 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 53
- disclosures
- #91 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13755 First Montauk Securities Corp.
First Montauk Securities Corp. · Grade F · 53 disc · 53.00/office · Single-office firm
- CRD 13755
- GRADE F
- DISC 53
- REG 25
- ARB 28
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #91 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Cowen and Company (54.00 disc/office)
First Montauk Securities Corp. ranks #91 of 20,055 by disclosure count among graded broker-dealers; heavy load at 53.00 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
53 events
On FINRA BrokerCheck
Regulatory events
25 actions
47% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 25 |
| Arbitrations | 28 |
| Civil Events | 0 |
| Total | 53 |
Counts for First Montauk Securities Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 25 Arbitration 28 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 03/11/1983
- State of Formation
- New York
- CRD Number
- 13755
- SEC Number
- 29748
Heavy disclosure book
First Montauk Securities Corp. in the heavier-disclosure third
First Montauk Securities Corp. carries 53 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#91 of 20,055). Mix is 25 regulatory, 28 arbitration, and 0 civil (47% regulator share).
First Montauk Securities Corp. ranks #91 of 20,055 by BrokerCheck disclosure count among graded firms (53 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of First Montauk Securities Corp.'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 First Montauk Securities Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Montauk Securities Corp. ranks #91 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 First Montauk Securities Corp.?
A grade of F reflects First Montauk Securities Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 53 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does First Montauk Securities Corp. have?
First Montauk Securities Corp. has 53 total FINRA disclosures, including 25 regulatory events, 28 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is First Montauk Securities Corp.?
First Montauk Securities Corp. 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 First Montauk Securities Corp.'s disciplinary record?
You can verify First Montauk Securities Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13755. 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). First Montauk Securities Corp.'s 53 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid First Montauk Securities Corp. 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. First Montauk Securities Corp. carries 53 disclosures across 0 branch offices (about 53.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Cowen and Company - 54.00 disclosures/office, nearest single-office firm peer to First Montauk Securities Corp.'s 53.00
- Sterne, Agee & Leach, Inc. - 54.00 disclosures/office, nearest single-office firm peer to First Montauk Securities Corp.'s 53.00
- Wachovia Securities, Inc. - 52.00 disclosures/office, nearest single-office firm peer to First Montauk Securities Corp.'s 53.00
- Red Flags in Advisor Records - How to read First Montauk Securities Corp.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 53 disclosures behind First Montauk Securities Corp.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as First Montauk Securities Corp..
- Compare firms - put First Montauk Securities Corp. 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.