CRD #5300 · FINRA BrokerCheck + SEC IAPD

Fred Alger & Company, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fred Alger & Company, LLC ranks #993 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #101 of 868 on the same disclosure sort used on the state browse page. Fred Alger & Company, LLC carries 7 BrokerCheck disclosures across 3 branch offices - elevated load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
7
disclosures
#993 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5300 Fred Alger & Company, LLC

Fred Alger & Company, LLC · Grade C · 7 disc · 2.33/office · Small firm

  • CRD 5300
  • GRADE C
  • DISC 7
  • REG 6
  • ARB 0
  • CIV 1
  • BRANCH 3
  • PER-OFF 2.33
  • RANK #993 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Brown, Lisle/Cummings, Inc. (2.33 disc/office)

Brown, Lisle/Cummings, …2.33First Dallas Securities…2.33Global Financial Servic…2.33Fred Alger & Compan… (this)2.33
Disclosures per office among small firm peers (lower is cleaner)

Fred Alger & Company, LLC ranks #993 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.33 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

3 offices

FINRA: Small firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

6 actions

86% of all disclosures

Disclosures per office

2.33 per office

7 ÷ 3 offices

Fred Alger & Company, LLC 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 6
Arbitrations 0
Civil Events 1
Total 7

Counts for Fred Alger & Company, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 0 Civil 1

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
5300

Elevated disclosures per office

Fred Alger & Company, LLC in the heavier-disclosure third

Fred Alger & Company, LLC carries 7 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#993 of 20,055). Regulator-initiated events are 86% of the book (6 regulatory / 0 arbitration / 1 civil).

Fred Alger & Company, LLC runs 2.33 disclosures per branch office (cleaner than only 91% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Fred Alger & Company, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.80× state average

Fred Alger & Company, LLC tracks near the New York disclosure average

Fred Alger & Company, LLC reports 7 BrokerCheck disclosures, about 0.80× 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 Fred Alger & Company, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fred Alger & Company, LLC ranks #993 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #101 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 Fred Alger & Company, LLC?
A grade of C reflects Fred Alger & Company, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 7 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Fred Alger & Company, LLC have?
Fred Alger & Company, LLC has 7 total FINRA disclosures, including 6 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Fred Alger & Company, LLC?
Fred Alger & Company, LLC operates 3 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 Fred Alger & Company, LLC's disciplinary record?
You can verify Fred Alger & Company, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5300. 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). Fred Alger & Company, LLC's 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Fred Alger & Company, 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. Fred Alger & Company, LLC carries 7 disclosures across 3 branch offices (about 2.33 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 Fred Alger & Company, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.