CRD #116681 · FINRA BrokerCheck + SEC IAPD

Hightower Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hightower Securities, LLC ranks #1,215 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #46 of 200 on the same disclosure sort used on the state browse page. Hightower Securities, LLC carries 6 BrokerCheck disclosures across 80 branch offices - light load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
80
branch offices
6
disclosures
#1,215 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 116681 Hightower Securities, LLC

Hightower Securities, LLC · Grade C · 6 disc · 0.07/office · Mid-sized firm

  • CRD 116681
  • GRADE C
  • DISC 6
  • REG 5
  • ARB 1
  • CIV 0
  • BRANCH 80
  • PER-OFF 0.07
  • RANK #1,215 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Advisors Asset Management, Inc. (0.08 disc/office)

Advisors Asset Manageme…0.08Trustmont Financial Gro…0.08Regulus Financial Group…0.07Hightower Securitie… (this)0.07
Disclosures per office among mid-sized firm peers (lower is cleaner)

Hightower Securities, LLC ranks #1,215 of 20,055 by disclosure count among graded broker-dealers; light load at 0.07 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

80 offices

FINRA: Large firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

5 actions

83% of all disclosures

Disclosures per office

0.07 per office

6 ÷ 80 offices

Hightower Securities, LLC vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 90% of 1,251 disclosing firms

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

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

Disclosure category share

Regulatory 5 Arbitration 1 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Chicago, IL
CRD Number
116681

Lower disclosures per office

Hightower Securities, LLC in the heavier-disclosure third

Hightower Securities, LLC carries 6 BrokerCheck disclosures across 80 branch offices - a heavier-third raw book among graded firms (#1,215 of 20,055). Regulator-initiated events are 83% of the book (5 regulatory / 1 arbitration / 0 civil).

Hightower Securities, LLC runs 0.07 disclosures per branch office (cleaner than 90% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Illinois cohort · 1.18× state average

Hightower Securities, LLC sits above the Illinois disclosure average

Hightower Securities, LLC reports 6 BrokerCheck disclosures, 1.18× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 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 Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Hightower Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hightower Securities, LLC ranks #1,215 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #46 of 200 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 Hightower Securities, LLC?
A grade of C reflects Hightower Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 6 total disclosures across 80 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Hightower Securities, LLC have?
Hightower Securities, LLC has 6 total FINRA disclosures, including 5 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Hightower Securities, LLC?
Hightower Securities, LLC operates 80 branch offices and is classified by FINRA as a large firm, registered in IL (Mid-sized 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 Hightower Securities, LLC's disciplinary record?
You can verify Hightower Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 116681. 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). Hightower Securities, LLC's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Hightower 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. Hightower Securities, LLC carries 6 disclosures across 80 branch offices (about 0.07 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 Hightower Securities, LLC, both outside IL 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.