CRD #43818 · FINRA BrokerCheck + SEC IAPD

J.M Lummis Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.M Lummis Securities, Inc. ranks #4,183 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #27 of 111 on the same disclosure sort used on the state browse page. J.M Lummis Securities, Inc. carries 1 BrokerCheck disclosure across 2 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
1
disclosure
#4,183 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 43818 J.M Lummis Securities, Inc.

J.M Lummis Securities, Inc. · Grade B · 1 disc · 0.50/office · Small firm

  • CRD 43818
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 0.50
  • RANK #4,183 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: 1964 Global (0.50 disc/office)

1964 Global0.50ABG Sundal Collier Inc.0.50ABN Amro Securities (US…0.50J.M Lummis Securiti… (this)0.50
Disclosures per office among small firm peers (lower is cleaner)

J.M Lummis Securities, Inc. ranks #4,183 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

2 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.50 per office

1 ÷ 2 offices

J.M Lummis Securities, Inc. vs. every disclosing firm

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

1 a cleaner per-office record than 44% 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%). This entry sits in this band. 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 1
Arbitrations 0
Civil Events 0
Total 1

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

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New Canaan, CT
CRD Number
43818

Regulator-heavy mix

J.M Lummis Securities, Inc. in the heavier-disclosure third

J.M Lummis Securities, Inc. carries 1 BrokerCheck disclosure across 2 branch offices - a heavier-third raw book among graded firms (#4,183 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of J.M Lummis Securities, Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Connecticut cohort · 0.28× state average

J.M Lummis Securities, Inc. sits below the Connecticut disclosure average

J.M Lummis Securities, Inc. reports 1 BrokerCheck disclosure, 0.28× the Connecticut average of 3.5, lighter than most of the 111 graded firms filed there.

In Connecticut, 76 firms carry Grade A and 2 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 Connecticut state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does J.M Lummis Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.M Lummis Securities, Inc. ranks #4,183 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #27 of 111 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 B mean for J.M Lummis Securities, Inc.?
A grade of B reflects J.M Lummis Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does J.M Lummis Securities, Inc. have?
J.M Lummis Securities, Inc. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is J.M Lummis Securities, Inc.?
J.M Lummis Securities, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in CT (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 J.M Lummis Securities, Inc.'s disciplinary record?
You can verify J.M Lummis Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 43818. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid J.M Lummis 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. J.M Lummis Securities, Inc. carries 1 disclosure across 2 branch offices (about 0.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1964 Global (NY) - 0.50 disclosures/office, nearest small firm peer to J.M Lummis Securities, Inc.'s 0.50
  • ABG Sundal Collier Inc. (NY) - 0.50 disclosures/office, nearest small firm peer to J.M Lummis Securities, Inc.'s 0.50
  • ABN Amro Securities (USA) LLC (NJ) - 0.50 disclosures/office, nearest small firm peer to J.M Lummis Securities, Inc.'s 0.50
  • Firms in CT - state roster that includes J.M Lummis Securities, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like J.M Lummis Securities, Inc..
  • Reading BrokerCheck Reports - How J.M Lummis Securities, Inc.'s 0.50 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to J.M Lummis Securities, Inc..
  • Compare firms - put J.M Lummis 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.