CRD #44952 · FINRA BrokerCheck + SEC IAPD

Legend Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Legend Securities, Inc. ranks #146 of 20,055 by disclosure count (most disclosures first). Legend Securities, Inc. carries 36 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
36
disclosures
#146 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 44952 Legend Securities, Inc.

Legend Securities, Inc. · Grade F · 36 disc · 36.00/office · Single-office firm

  • CRD 44952
  • GRADE F
  • DISC 36
  • REG 22
  • ARB 14
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #146 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Crown Financial Group, Inc. (36.00 disc/office)

Crown Financial Group, …36.00Emmett a Larkin Company…36.00First Clearing, LLC36.00Legend Securities, … (this)36.00
Disclosures per office among single-office firm peers (lower is cleaner)

Legend Securities, Inc. ranks #146 of 20,055 by disclosure count among graded broker-dealers; heavy load at 36.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

0 offices

FINRA: Small firm

Total disclosures

36 events

On FINRA BrokerCheck

Regulatory events

22 actions

61% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 22
Arbitrations 14
Civil Events 0
Total 36

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

Disclosure category share

Regulatory 22 Arbitration 14 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
44952

Heavy disclosure book

Legend Securities, Inc. in the heavier-disclosure third

Legend Securities, Inc. carries 36 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#146 of 20,055). Regulator-initiated events are 61% of the book (22 regulatory / 14 arbitration / 0 civil).

Legend Securities, Inc. ranks #146 of 20,055 by BrokerCheck disclosure count among graded firms (36 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Legend Securities, Inc.'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 Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Legend Securities, Inc. ranks #146 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 F mean for Legend Securities, Inc.?
A grade of F reflects Legend Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 36 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Legend Securities, Inc. have?
Legend Securities, Inc. has 36 total FINRA disclosures, including 22 regulatory events, 14 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Legend Securities, Inc.?
Legend Securities, Inc. 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 Securities, Inc.'s disciplinary record?
You can verify Legend Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 44952. 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 Securities, Inc.'s 36 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Legend 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. Legend Securities, Inc. carries 36 disclosures across 0 branch offices (about 36.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.