Branch offices
0 offices
FINRA: Small firm
CRD #46992 · FINRA BrokerCheck + SEC IAPD
Genesis Securities, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Genesis Securities, LLC ranks #675 of 20,055 by disclosure count (most disclosures first). Genesis Securities, LLC carries 10 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 10
- disclosures
- #675 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 46992 Genesis Securities, LLC
Genesis Securities, LLC · Grade D · 10 disc · 10.00/office · Single-office firm
- CRD 46992
- GRADE D
- DISC 10
- REG 10
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #675 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Allen C. Ewing & Co. (10.00 disc/office)
Genesis Securities, LLC ranks #675 of 20,055 by disclosure count among graded broker-dealers; heavy load at 10.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
10 events
On FINRA BrokerCheck
Regulatory events
10 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 10 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 10 |
Counts for Genesis Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 10 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 02/05/1999
- State of Formation
- New York
- CRD Number
- 46992
- SEC Number
- 51614
Regulator-heavy mix
Genesis Securities, LLC in the heavier-disclosure third
Genesis Securities, LLC carries 10 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#675 of 20,055). Regulator-initiated events are 100% of the book (10 regulatory / 0 arbitration / 0 civil).
100% of Genesis Securities, LLC's 10 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Genesis Securities, LLC'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 Genesis Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Genesis Securities, LLC ranks #675 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 D mean for Genesis Securities, LLC?
A grade of D reflects Genesis Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 10 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Genesis Securities, LLC have?
Genesis Securities, LLC has 10 total FINRA disclosures, including 10 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Genesis Securities, LLC?
Genesis Securities, LLC 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 Genesis Securities, LLC's disciplinary record?
You can verify Genesis Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 46992. 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). Genesis Securities, LLC's 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Genesis 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. Genesis Securities, LLC carries 10 disclosures across 0 branch offices (about 10.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Allen C. Ewing & Co. - 10.00 disclosures/office, nearest single-office firm peer to Genesis Securities, LLC's 10.00
- American Securities BD Co., L.P. - 10.00 disclosures/office, nearest single-office firm peer to Genesis Securities, LLC's 10.00
- Archelon LLC - 10.00 disclosures/office, nearest single-office firm peer to Genesis Securities, LLC's 10.00
- Red Flags in Advisor Records - How to read Genesis Securities, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 10 disclosures behind Genesis Securities, LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Genesis Securities, LLC.
- Compare firms - put Genesis 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.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.