Branch offices
2 offices
FINRA: Small firm
CRD #104158 · FINRA BrokerCheck + SEC IAPD
Korea Investment & Securities America, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Korea Investment & Securities America, Inc. ranks #12,986 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #627 of 868 on the same disclosure sort used on the state browse page. Korea Investment & Securities America, Inc. 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
- #12,986 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 104158 Korea Investment & Securities America, Inc.
Korea Investment & Securities America, Inc. · Grade A · 0 disc · 0.00/office · Small firm
- CRD 104158
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #12,986 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Korea Investment & Securities America, Inc. ranks #12,986 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
Korea Investment & Securities America, Inc. 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
- CRD Number
- 104158
Clean BrokerCheck surface
Korea Investment & Securities America, Inc.'s clean BrokerCheck surface
Korea Investment & Securities America, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Korea Investment & Securities America, Inc. shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Korea Investment & Securities America, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
New York cohort · 0.00× state average
Korea Investment & Securities America, Inc. sits below the New York disclosure average
Korea Investment & Securities America, Inc. 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 Korea Investment & Securities America, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Korea Investment & Securities America, Inc. ranks #12,986 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #627 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 Korea Investment & Securities America, Inc.?
A grade of A means Korea Investment & Securities America, Inc. 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 Korea Investment & Securities America, Inc. have?
Korea Investment & Securities America, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Korea Investment & Securities America, Inc.?
Korea Investment & Securities America, Inc. 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 Korea Investment & Securities America, Inc.'s disciplinary record?
You can verify Korea Investment & Securities America, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 104158. 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. Korea Investment & Securities America, Inc. 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 Korea Investment & Securities America, Inc.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Korea Investment & Securities America, Inc.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Korea Investment & Securities America, Inc.'s 0.00
- Firms in NY - state roster that includes Korea Investment & Securities America, Inc.'s registration home.
- How to Vet a Financial Advisor - Use Korea Investment & Securities America, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Korea Investment & Securities America, Inc.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Korea Investment & Securities America, Inc..
- Compare firms - put Korea Investment & Securities America, Inc. 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.
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.