CRD #14840 · FINRA BrokerCheck + SEC IAPD

Lument Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lument Securities, LLC ranks #13,505 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #44 of 57 on the same disclosure sort used on the state browse page. Lument Securities, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 13 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
13
branch offices
0
disclosures
#13,505 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 14840 Lument Securities, LLC

Lument Securities, LLC · Grade A · 0 disc · 0.00/office · Regional firm

  • CRD 14840
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.00
  • RANK #13,505 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: ADP Broker-Dealer, Inc. (0.00 disc/office)

ADP Broker-Dealer, Inc.0.00AE Financial Services, LLC0.00American Global Wealth …0.00Lument Securities, LLC (this)0.00
Disclosures per office among regional firm peers (lower is cleaner)

Lument Securities, LLC ranks #13,505 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 5/5 - 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

13 offices

FINRA: Small firm

Total disclosures

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

0.00 per office

0 ÷ 13 offices

Clean disclosure surface

Lument Securities, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 13 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Columbus, OH
CRD Number
14840

Clean BrokerCheck surface

Lument Securities, LLC's clean BrokerCheck surface

Lument Securities, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 13 branch offices (Grade A).

Lument Securities, LLC shows zero reportable disclosures across 13 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Lument Securities, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

Ohio cohort · 0.00× state average

Lument Securities, LLC sits below the Ohio disclosure average

Lument Securities, LLC reports 0 BrokerCheck disclosures, 0.00× the Ohio average of 4.1, lighter than most of the 57 graded firms filed there.

In Ohio, 26 firms carry Grade A and 0 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 Ohio state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Lument Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lument Securities, LLC ranks #13,505 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #44 of 57 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 A mean for Lument Securities, LLC?
A grade of A means Lument Securities, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Lument Securities, LLC have?
Lument Securities, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Lument Securities, LLC?
Lument Securities, LLC operates 13 branch offices and is classified by FINRA as a small firm, registered in OH (Regional 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 Lument Securities, LLC's disciplinary record?
You can verify Lument Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14840. 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 BrokerCheck record. Lument Securities, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Lument Securities, LLC, both outside OH so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - clean-record firms: what a Grade A surface does and does not prove.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.