CRD #43761 · FINRA BrokerCheck + SEC IAPD

Lupo Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lupo Securities, LLC ranks #487 of 20,055 by disclosure count (most disclosures first). Lupo Securities, LLC carries 14 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
0
branch offices
14
disclosures
#487 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 43761 Lupo Securities, LLC

Lupo Securities, LLC · Grade D · 14 disc · 14.00/office · Single-office firm

  • CRD 43761
  • GRADE D
  • DISC 14
  • REG 13
  • ARB 0
  • CIV 1
  • BRANCH 0
  • PER-OFF n/a
  • RANK #487 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Advantage Capital Corporation (14.00 disc/office)

Advantage Capital Corpo…14.00Aura Financial Services…14.00Avalon Investment & Sec…14.00Lupo Securities, LLC (this)14.00
Disclosures per office among single-office firm peers (lower is cleaner)

Lupo Securities, LLC ranks #487 of 20,055 by disclosure count among graded broker-dealers; heavy load at 14.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

14 events

On FINRA BrokerCheck

Regulatory events

13 actions

93% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 13
Arbitrations 0
Civil Events 1
Total 14

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

Disclosure category share

Regulatory 13 Arbitration 0 Civil 1

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
06/01/1997
State of Formation
Illinois
CRD Number
43761
SEC Number
50403

Regulator-heavy mix

Lupo Securities, LLC in the heavier-disclosure third

Lupo Securities, LLC carries 14 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#487 of 20,055). Regulator-initiated events are 93% of the book (13 regulatory / 0 arbitration / 1 civil).

93% of Lupo Securities, LLC's 14 disclosures are regulator-initiated (13 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Lupo Securities, LLC'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 Lupo Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lupo Securities, LLC ranks #487 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 Lupo Securities, LLC?
A grade of D reflects Lupo Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 14 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Lupo Securities, LLC have?
Lupo Securities, LLC has 14 total FINRA disclosures, including 13 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Lupo Securities, LLC?
Lupo Securities, LLC 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 Lupo Securities, LLC's disciplinary record?
You can verify Lupo Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 43761. 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). Lupo Securities, LLC's 14 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Lupo Securities, LLC 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. Lupo Securities, LLC carries 14 disclosures across 0 branch offices (about 14.00 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.

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.