Branch offices
2 offices
FINRA: Small firm
CRD #318014 · FINRA BrokerCheck + SEC IAPD
IEX DAP LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, IEX DAP LLC ranks #11,846 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #589 of 868 on the same disclosure sort used on the state browse page. IEX DAP LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #11,846 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 318014 IEX DAP LLC
IEX DAP LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 318014
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #11,846 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
IEX DAP LLC ranks #11,846 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
IEX DAP LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY, 10007
- Formed
- 10/20/2021
- State of Formation
- Delaware
- CRD Number
- 318014
- SEC Number
- 70869
Clean BrokerCheck surface
IEX DAP LLC's clean BrokerCheck surface
IEX DAP LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
IEX DAP LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of IEX DAP LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
New York cohort · 0.00× state average
IEX DAP LLC sits below the New York disclosure average
IEX DAP LLC reports 0 BrokerCheck disclosures, 0.00× the New York average of 8.7, lighter than most of the 868 graded firms filed there.
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 IEX DAP LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, IEX DAP LLC ranks #11,846 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #589 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 A mean for IEX DAP LLC?
A grade of A means IEX DAP LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does IEX DAP LLC have?
IEX DAP LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is IEX DAP LLC?
IEX DAP LLC operates 2 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 IEX DAP LLC's disciplinary record?
You can verify IEX DAP LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 318014. 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 BrokerCheck record. IEX DAP LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to IEX DAP LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to IEX DAP LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to IEX DAP LLC's 0.00
- Firms in NY - state roster that includes IEX DAP LLC's registration home.
- How to Vet a Financial Advisor - Use IEX DAP LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like IEX DAP LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside IEX DAP LLC.
- Compare firms - put IEX DAP LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.