CRD #19878 · FINRA BrokerCheck + SEC IAPD

M.M. Dillon & Co. LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, M.M. Dillon & Co. LLC ranks #3,013 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #23 of 111 on the same disclosure sort used on the state browse page. M.M. Dillon & Co. LLC carries 2 BrokerCheck disclosures across 1 branch office - elevated load for a single-office firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1
branch office
2
disclosures
#3,013 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 19878 M.M. Dillon & Co. LLC

M.M. Dillon & Co. LLC · Grade B · 2 disc · 2.00/office · Single-office firm

  • CRD 19878
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 2.00
  • RANK #3,013 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)

Abramenko & Company, Inc.2.00Abshier Webb Donnelly &…2.00ABW Trading, LLC2.00M.M. Dillon & Co. LLC (this)2.00
Disclosures per office among single-office firm peers (lower is cleaner)

M.M. Dillon & Co. LLC ranks #3,013 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

2.00 per office

2 ÷ 1 offices

M.M. Dillon & Co. LLC vs. every disclosing firm

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

2 a cleaner per-office record than 10% 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%). This entry sits in this band. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 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 2
Arbitrations 0
Civil Events 0
Total 2

Counts for M.M. Dillon & Co. LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Greenwich, CT, 06830
Formed
03/26/2010
State of Formation
Delaware
CRD Number
19878
SEC Number
37893

Regulator-heavy mix

M.M. Dillon & Co. LLC in the heavier-disclosure third

M.M. Dillon & Co. LLC carries 2 BrokerCheck disclosures across 1 branch office - a heavier-third raw book among graded firms (#3,013 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of M.M. Dillon & Co. LLC's 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of M.M. Dillon & Co. LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Connecticut cohort · 0.57× state average

M.M. Dillon & Co. LLC tracks near the Connecticut disclosure average

M.M. Dillon & Co. LLC reports 2 BrokerCheck disclosures, about 0.57× the Connecticut average of 3.5 across 111 graded firms.

In Connecticut, 76 firms carry Grade A and 2 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 Connecticut state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does M.M. Dillon & Co. LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, M.M. Dillon & Co. LLC ranks #3,013 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #23 of 111 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 B mean for M.M. Dillon & Co. LLC?
A grade of B reflects M.M. Dillon & Co. LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does M.M. Dillon & Co. LLC have?
M.M. Dillon & Co. LLC has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is M.M. Dillon & Co. LLC?
M.M. Dillon & Co. LLC operates 1 branch office and is classified by FINRA as a small firm, registered in CT (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 M.M. Dillon & Co. LLC's disciplinary record?
You can verify M.M. Dillon & Co. LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 19878. 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 M.M. Dillon & Co. LLC, the 2.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid M.M. Dillon & Co. 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. M.M. Dillon & Co. LLC carries 2 disclosures across 1 branch office (about 2.00 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.