CRD #16843 · FINRA BrokerCheck + SEC IAPD

Firstrade Securities Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Firstrade Securities Inc. ranks #750 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #85 of 868 on the same disclosure sort used on the state browse page. Firstrade Securities Inc. carries 9 BrokerCheck disclosures across 4 branch offices - elevated load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4
branch offices
9
disclosures
#750 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16843 Firstrade Securities Inc.

Firstrade Securities Inc. · Grade C · 9 disc · 2.25/office · Small firm

  • CRD 16843
  • GRADE C
  • DISC 9
  • REG 7
  • ARB 2
  • CIV 0
  • BRANCH 4
  • PER-OFF 2.25
  • RANK #750 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Bloomberg Tradebook LLC (2.25 disc/office)

Bloomberg Tradebook LLC2.25Sogotrade, Inc.2.25Trident Partners Ltd.2.25Firstrade Securitie… (this)2.25
Disclosures per office among small firm peers (lower is cleaner)

Firstrade Securities Inc. ranks #750 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.25 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

4 offices

FINRA: Small firm

Total disclosures

9 events

On FINRA BrokerCheck

Regulatory events

7 actions

78% of all disclosures

Disclosures per office

2.25 per office

9 ÷ 4 offices

Firstrade Securities Inc. vs. every disclosing firm

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

2 a cleaner per-office record than 9% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). This entry sits in this band. 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 7
Arbitrations 2
Civil Events 0
Total 9

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

Disclosure category share

Regulatory 7 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Flushing, NY
CRD Number
16843

Elevated disclosures per office

Firstrade Securities Inc. in the heavier-disclosure third

Firstrade Securities Inc. carries 9 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#750 of 20,055). Regulator-initiated events are 78% of the book (7 regulatory / 2 arbitration / 0 civil).

Firstrade Securities Inc. runs 2.25 disclosures per branch office (cleaner than only 91% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.03× state average

Firstrade Securities Inc. tracks near the New York disclosure average

Firstrade Securities Inc. reports 9 BrokerCheck disclosures, about 1.03× the New York average of 8.7 across 868 graded firms.

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 Firstrade Securities Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Firstrade Securities Inc. ranks #750 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #85 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 C mean for Firstrade Securities Inc.?
A grade of C reflects Firstrade Securities Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 9 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Firstrade Securities Inc. have?
Firstrade Securities Inc. has 9 total FINRA disclosures, including 7 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Firstrade Securities Inc.?
Firstrade Securities Inc. operates 4 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 Firstrade Securities Inc.'s disciplinary record?
You can verify Firstrade Securities Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16843. 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). Firstrade Securities Inc.'s 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Firstrade Securities Inc. 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. Firstrade Securities Inc. carries 9 disclosures across 4 branch offices (about 2.25 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 Firstrade Securities Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Bloomberg Tradebook LLC (NY) - 2.25 disclosures/office, nearest small firm peer to Firstrade Securities Inc.'s 2.25
  • Sogotrade, Inc. (MO) - 2.25 disclosures/office, nearest small firm peer to Firstrade Securities Inc.'s 2.25
  • Trident Partners Ltd. (NY) - 2.25 disclosures/office, nearest small firm peer to Firstrade Securities Inc.'s 2.25
  • Firms in NY - state roster that includes Firstrade Securities Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Firstrade Securities Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 9 disclosures behind Firstrade Securities Inc.'s Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Firstrade Securities Inc..
  • Compare firms - put Firstrade Securities Inc. 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.