Branch offices
0 offices
FINRA: Small firm
CRD #7404 · FINRA BrokerCheck + SEC IAPD
Mclaughlin, Piven, Vogel Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mclaughlin, Piven, Vogel Securities, Inc. ranks #229 of 20,055 by disclosure count (most disclosures first). Mclaughlin, Piven, Vogel Securities, Inc. carries 26 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 26
- disclosures
- #229 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 7404 Mclaughlin, Piven, Vogel Securities, Inc.
Mclaughlin, Piven, Vogel Securities, Inc. · Grade F · 26 disc · 26.00/office · Single-office firm
- CRD 7404
- GRADE F
- DISC 26
- REG 19
- ARB 7
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #229 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Cantella & Co., Inc. (26.00 disc/office)
Mclaughlin, Piven, Vogel Securities, Inc. ranks #229 of 20,055 by disclosure count among graded broker-dealers; heavy load at 26.00 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
Total disclosures
26 events
On FINRA BrokerCheck
Regulatory events
19 actions
73% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 19 |
| Arbitrations | 7 |
| Civil Events | 0 |
| Total | 26 |
Counts for Mclaughlin, Piven, Vogel Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 19 Arbitration 7 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 7404
Heavy disclosure book
Mclaughlin, Piven, Vogel Securities, Inc. in the heavier-disclosure third
Mclaughlin, Piven, Vogel Securities, Inc. carries 26 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#229 of 20,055). Regulator-initiated events are 73% of the book (19 regulatory / 7 arbitration / 0 civil).
Mclaughlin, Piven, Vogel Securities, Inc. ranks #229 of 20,055 by BrokerCheck disclosure count among graded firms (26 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Mclaughlin, Piven, Vogel 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 Mclaughlin, Piven, Vogel Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mclaughlin, Piven, Vogel Securities, Inc. ranks #229 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 Mclaughlin, Piven, Vogel Securities, Inc.?
A grade of F reflects Mclaughlin, Piven, Vogel 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 26 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Mclaughlin, Piven, Vogel Securities, Inc. have?
Mclaughlin, Piven, Vogel Securities, Inc. has 26 total FINRA disclosures, including 19 regulatory events, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Mclaughlin, Piven, Vogel Securities, Inc.?
Mclaughlin, Piven, Vogel 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 Mclaughlin, Piven, Vogel Securities, Inc.'s disciplinary record?
You can verify Mclaughlin, Piven, Vogel Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7404. 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). Mclaughlin, Piven, Vogel Securities, Inc.'s 26 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Mclaughlin, Piven, Vogel 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. Mclaughlin, Piven, Vogel Securities, Inc. carries 26 disclosures across 0 branch offices (about 26.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Cantella & Co., Inc. - 26.00 disclosures/office, nearest single-office firm peer to Mclaughlin, Piven, Vogel Securities, Inc.'s 26.00
- Hudson Securities,Inc. - 26.00 disclosures/office, nearest single-office firm peer to Mclaughlin, Piven, Vogel Securities, Inc.'s 26.00
- Obsidian Financial Group, LLC - 26.00 disclosures/office, nearest single-office firm peer to Mclaughlin, Piven, Vogel Securities, Inc.'s 26.00
- Red Flags in Advisor Records - How to read Mclaughlin, Piven, Vogel Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 26 disclosures behind Mclaughlin, Piven, Vogel Securities, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Mclaughlin, Piven, Vogel Securities, Inc..
- Compare firms - put Mclaughlin, Piven, Vogel Securities, Inc. 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.