Branch offices
0 offices
FINRA: Small firm
CRD #30999 · FINRA BrokerCheck + SEC IAPD
Legend Equities Corporation
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Legend Equities Corporation ranks #1,021 of 20,055 by disclosure count (most disclosures first). Legend Equities Corporation carries 7 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 7
- disclosures
- #1,021 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 30999 Legend Equities Corporation
Legend Equities Corporation · Grade D · 7 disc · 7.00/office · Single-office firm
- CRD 30999
- GRADE D
- DISC 7
- REG 6
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,021 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Accutrade Inc. (7.00 disc/office)
Legend Equities Corporation ranks #1,021 of 20,055 by disclosure count among graded broker-dealers; heavy load at 7.00 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
7 events
On FINRA BrokerCheck
Regulatory events
6 actions
86% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 6 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 7 |
Counts for Legend Equities Corporation reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 6 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 30999
Regulator-heavy mix
Legend Equities Corporation in the heavier-disclosure third
Legend Equities Corporation carries 7 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,021 of 20,055). Regulator-initiated events are 86% of the book (6 regulatory / 1 arbitration / 0 civil).
86% of Legend Equities Corporation's 7 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Legend Equities Corporation's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Legend Equities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Legend Equities Corporation ranks #1,021 of 20,055 by disclosure count (most disclosures first). 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 Legend Equities Corporation?
A grade of D reflects Legend Equities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 7 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Legend Equities Corporation have?
Legend Equities Corporation has 7 total FINRA disclosures, including 6 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Legend Equities Corporation?
Legend Equities Corporation operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 Legend Equities Corporation's disciplinary record?
You can verify Legend Equities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 30999. 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). Legend Equities Corporation's 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Legend Equities Corporation 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. Legend Equities Corporation carries 7 disclosures across 0 branch offices (about 7.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Accutrade Inc. - 7.00 disclosures/office, nearest single-office firm peer to Legend Equities Corporation's 7.00
- Achilles Securities, LLC - 7.00 disclosures/office, nearest single-office firm peer to Legend Equities Corporation's 7.00
- Adams, Hess, Moore & Co. - 7.00 disclosures/office, nearest single-office firm peer to Legend Equities Corporation's 7.00
- Red Flags in Advisor Records - How to read Legend Equities Corporation's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 7 disclosures behind Legend Equities Corporation's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Legend Equities Corporation.
- Compare firms - put Legend Equities Corporation 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.
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.