CRD #36927 · FINRA BrokerCheck + SEC IAPD

Kroll Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Kroll Securities LLC ranks #4,242 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #95 of 200 on the same disclosure sort used on the state browse page. Kroll Securities LLC carries 1 BrokerCheck disclosure across 5 branch offices - light load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
5
branch offices
1
disclosure
#4,242 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 36927 Kroll Securities LLC

Kroll Securities LLC · Grade B · 1 disc · 0.20/office · Small firm

  • CRD 36927
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 5
  • PER-OFF 0.20
  • RANK #4,242 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: AGC Partners (0.20 disc/office)

AGC Partners0.20Axos Invest LLC0.20Chauner Securities, Inc.0.20Kroll Securities LLC (this)0.20
Disclosures per office among small firm peers (lower is cleaner)

Kroll Securities LLC ranks #4,242 of 20,055 by disclosure count among graded broker-dealers; light load at 0.20 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

5 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.20 per office

1 ÷ 5 offices

Kroll 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 76% 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 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Kroll Securities LLC 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
Chicago, IL, 60606
Formed
06/19/1997
State of Formation
Delaware
CRD Number
36927
SEC Number
47558

Regulator-heavy mix

Kroll Securities LLC in the heavier-disclosure third

Kroll Securities LLC carries 1 BrokerCheck disclosure across 5 branch offices - a heavier-third raw book among graded firms (#4,242 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Kroll Securities LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Illinois cohort · 0.20× state average

Kroll Securities LLC sits below the Illinois disclosure average

Kroll Securities LLC reports 1 BrokerCheck disclosure, 0.20× the Illinois average of 5.1, lighter than most of the 200 graded firms filed there.

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 Kroll Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Kroll Securities LLC ranks #4,242 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #95 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 B mean for Kroll Securities LLC?
A grade of B reflects Kroll Securities LLC'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 5 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Kroll Securities LLC have?
Kroll Securities LLC 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 Kroll Securities LLC?
Kroll Securities LLC operates 5 branch offices and is classified by FINRA as a small firm, registered in IL (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 Kroll Securities LLC's disciplinary record?
You can verify Kroll Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36927. 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 Kroll 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. Kroll Securities LLC carries 1 disclosure across 5 branch offices (about 0.20 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 Kroll 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

  • AGC Partners (MA) - 0.20 disclosures/office, nearest small firm peer to Kroll Securities LLC's 0.20
  • Axos Invest LLC (NV) - 0.20 disclosures/office, nearest small firm peer to Kroll Securities LLC's 0.20
  • Chauner Securities, Inc. (IL) - 0.20 disclosures/office, nearest small firm peer to Kroll Securities LLC's 0.20
  • Firms in IL - state roster that includes Kroll Securities LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Kroll Securities LLC.
  • Reading BrokerCheck Reports - How Kroll Securities LLC's 0.20 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Kroll Securities LLC.
  • Compare firms - put Kroll 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.