Branch offices
7 offices
FINRA: Small firm
CRD #505 · FINRA BrokerCheck + SEC IAPD
Ladenburg Thalmann & Co. Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ladenburg Thalmann & Co. Inc. ranks #99 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #21 of 868 on the same disclosure sort used on the state browse page. Ladenburg Thalmann & Co. Inc. carries 50 BrokerCheck disclosures across 7 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 7
- branch offices
- 50
- disclosures
- #99 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 505 Ladenburg Thalmann & Co. Inc.
Ladenburg Thalmann & Co. Inc. · Grade D · 50 disc · 7.14/office · Small firm
- CRD 505
- GRADE D
- DISC 50
- REG 36
- ARB 14
- CIV 0
- BRANCH 7
- PER-OFF 7.14
- RANK #99 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Allen & Company LLC (7.00 disc/office)
Ladenburg Thalmann & Co. Inc. ranks #99 of 20,055 by disclosure count among graded broker-dealers; heavy load at 7.14 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
50 events
On FINRA BrokerCheck
Regulatory events
36 actions
72% of all disclosures
Disclosures per office
7.14 per office
50 ÷ 7 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Ladenburg Thalmann & Co. Inc. - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 36 |
| Arbitrations | 14 |
| Civil Events | 0 |
| Total | 50 |
Counts for Ladenburg Thalmann & Co. Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 36 Arbitration 14 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY
- CRD Number
- 505
Heavy disclosure book
Ladenburg Thalmann & Co. Inc. in the heavier-disclosure third
Ladenburg Thalmann & Co. Inc. carries 50 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#99 of 20,055). Regulator-initiated events are 72% of the book (36 regulatory / 14 arbitration / 0 civil).
Ladenburg Thalmann & Co. Inc. ranks #99 of 20,055 by BrokerCheck disclosure count among graded firms (50 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Ladenburg Thalmann & Co. Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New York cohort · 5.72× state average
Ladenburg Thalmann & Co. Inc. sits above the New York disclosure average
Ladenburg Thalmann & Co. Inc. reports 50 BrokerCheck disclosures, 5.72× the New York average of 8.7 across 868 graded firms with a principal-office state on file.
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 Ladenburg Thalmann & Co. Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ladenburg Thalmann & Co. Inc. ranks #99 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #21 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 D mean for Ladenburg Thalmann & Co. Inc.?
A grade of D reflects Ladenburg Thalmann & Co. Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 50 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Ladenburg Thalmann & Co. Inc. have?
Ladenburg Thalmann & Co. Inc. has 50 total FINRA disclosures, including 36 regulatory events, 14 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ladenburg Thalmann & Co. Inc.?
Ladenburg Thalmann & Co. Inc. operates 7 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 Ladenburg Thalmann & Co. Inc.'s disciplinary record?
You can verify Ladenburg Thalmann & Co. Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 505. 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). Ladenburg Thalmann & Co. Inc.'s 50 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Ladenburg Thalmann & Co. 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. Ladenburg Thalmann & Co. Inc. carries 50 disclosures across 7 branch offices (about 7.14 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 Ladenburg Thalmann & Co. Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (50 here).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (7 here).
Read with this firm
- Allen & Company LLC (NY) - 7.00 disclosures/office, nearest small firm peer to Ladenburg Thalmann & Co. Inc.'s 7.14
- Buckman, Buckman & Reid, Inc. (NJ) - 7.33 disclosures/office, nearest small firm peer to Ladenburg Thalmann & Co. Inc.'s 7.14
- Coda Markets, Inc. (IL) - 7.50 disclosures/office, nearest small firm peer to Ladenburg Thalmann & Co. Inc.'s 7.14
- Firms in NY - state roster that includes Ladenburg Thalmann & Co. Inc.'s registration home.
- Red Flags in Advisor Records - How to read Ladenburg Thalmann & Co. Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 50 disclosures behind Ladenburg Thalmann & Co. Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Ladenburg Thalmann & Co. Inc..
- Compare firms - put Ladenburg Thalmann & Co. 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.