CRD #15071 · FINRA BrokerCheck + SEC IAPD

Liberty Associates, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Liberty Associates, Inc. ranks #2,247 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #181 of 868 on the same disclosure sort used on the state browse page. Liberty Associates, Inc. carries 3 BrokerCheck disclosures across 1 branch office - heavy load for a single-office firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
1
branch office
3
disclosures
#2,247 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 15071 Liberty Associates, Inc.

Liberty Associates, Inc. · Grade C · 3 disc · 3.00/office · Single-office firm

  • CRD 15071
  • GRADE C
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 3.00
  • RANK #2,247 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: A. B. Culbertson and Company (3.00 disc/office)

A. B. Culbertson and Co…3.00A. Gary Shilling & Co.,…3.00Abner Herrman & Brock, LLC3.00Liberty Associates,… (this)3.00
Disclosures per office among single-office firm peers (lower is cleaner)

Liberty Associates, Inc. ranks #2,247 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

1 office

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

3.00 per office

3 ÷ 1 offices

Liberty Associates, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 4% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 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 3
Arbitrations 0
Civil Events 0
Total 3

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

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
15071

Regulator-heavy mix

Liberty Associates, Inc. in the heavier-disclosure third

Liberty Associates, Inc. carries 3 BrokerCheck disclosures across 1 branch office - a heavier-third raw book among graded firms (#2,247 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of Liberty Associates, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.34× state average

Liberty Associates, Inc. sits below the New York disclosure average

Liberty Associates, Inc. reports 3 BrokerCheck disclosures, 0.34× 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 Liberty Associates, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Liberty Associates, Inc. ranks #2,247 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #181 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 C mean for Liberty Associates, Inc.?
A grade of C reflects Liberty Associates, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 3 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Liberty Associates, Inc. have?
Liberty Associates, Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Liberty Associates, Inc.?
Liberty Associates, Inc. operates 1 branch office and is classified by FINRA as a small firm, registered in NY (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 Liberty Associates, Inc.'s disciplinary record?
You can verify Liberty Associates, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 15071. 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 BrokerCheck. For Liberty Associates, Inc., the 3.00 per-office intensity is the size-normalized signal behind Grade C.
Should I avoid Liberty Associates, 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. Liberty Associates, Inc. carries 3 disclosures across 1 branch office (about 3.00 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.