Registered advisors
1 advisors
Small firm tier
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 306373 Grade A
FIRST OMEGA, LLC — FINRA BrokerCheck Disciplinary Record
Limited Liability Company headquartered in NEW YORK, NY. 1 registered advisor, 0.0% disclosure rate.
FIRST OMEGA, LLC registration status — ACTIVE
Total disclosures
0 events
On FINRA BrokerCheck
Disclosure rate
0.0%
0 ÷ 1 advisors
Branch offices
2 offices
Formed in Delaware
Disclosure Density
Disclosures per registered advisor — relative to peer-firm benchmarks.
FIRST OMEGA, LLC — disclosures per advisor 0.0%
Industry median
Compared against the 0.10-disclosure-per-advisor industry-median benchmark drawn from the firms table.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 0 |
| Customer Complaints | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 0 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Peer Comparison
FIRST OMEGA, LLC vs. industry-median benchmarks for Small-tier broker-dealer firms.
Disclosure rate
0.0%
Industry median: 10.0%
Reg events / advisor
0.00
Industry median: 0.05
Branches / advisor
2.00
Industry median: 0.15
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- NEW YORK, NY, 10020
- Formed
- 10/18/2019
- State of Formation
- Delaware
- CRD Number
- 306373
- SEC Number
- 70495
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About FIRST OMEGA, LLC
FIRST OMEGA, LLC (Limited Liability Company, CRD# 306373 · SEC# 70495 · NEW YORK, NY) reports 1 advisor across 2 branches — Small tier, scope ACTIVE.
BrokerCheck shows 0 disclosures (0.0% per-advisor rate): 0 regulatory, 0 customer-complaint, 0 arbitration, 0 civil. Letter grade A (5/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a high disclosure rate relative to advisor headcount is a signal worth examining before you hire. Compare the per-advisor rate above against firms of similar size, and read each disclosure's underlying detail on the official record rather than relying on the headline count alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA, BrokerCheck Public Disclosure Data (2024) FINRA, BrokerCheck Public Disclosure Data (2024)
Frequently Asked Questions
What does a grade of A mean for FIRST OMEGA, LLC?
A grade of A indicates FIRST OMEGA, LLC has an excellent disciplinary record with zero or near-zero FINRA disclosures relative to its size. This suggests a strong compliance culture.
How many FINRA disclosures does FIRST OMEGA, LLC have?
FIRST OMEGA, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How many financial advisors work at FIRST OMEGA, LLC?
FIRST OMEGA, LLC has 1 registered advisor and 2 branch offices, headquartered in NY. Advisor counts are sourced from FINRA BrokerCheck public records.
Where can I verify FIRST OMEGA, LLC's disciplinary record?
You can verify FIRST OMEGA, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 306373. 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.
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Read our methodology — how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial