CRD #7270 · FINRA BrokerCheck + SEC IAPD

Nasdaq Execution Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nasdaq Execution Services, LLC ranks #696 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #13 of 81 on the same disclosure sort used on the state browse page. Nasdaq Execution Services, LLC carries 10 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
10
disclosures
#696 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7270 Nasdaq Execution Services, LLC

Nasdaq Execution Services, LLC · Grade C · 10 disc · 3.33/office · Small firm

  • CRD 7270
  • GRADE C
  • DISC 10
  • REG 10
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 3.33
  • RANK #696 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Bbva Securities Inc. (3.33 disc/office)

Bbva Securities Inc.3.33Great Point Capital LLC3.25THE Vertical Group3.25Nasdaq Execution Se… (this)3.33
Disclosures per office among small firm peers (lower is cleaner)

Nasdaq Execution Services, LLC ranks #696 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.33 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

3 offices

FINRA: Small firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

10 actions

100% of all disclosures

Disclosures per office

3.33 per office

10 ÷ 3 offices

Nasdaq Execution Services, LLC 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 3% 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%). Below this entry. 3–4: 5 disclosing firms (0%). This entry sits in this band. 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 10
Arbitrations 0
Civil Events 0
Total 10

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

Disclosure category share

Regulatory 10 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Philadelphia, PA
CRD Number
7270

Regulator-heavy mix

Nasdaq Execution Services, LLC in the heavier-disclosure third

Nasdaq Execution Services, LLC carries 10 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#696 of 20,055). Regulator-initiated events are 100% of the book (10 regulatory / 0 arbitration / 0 civil).

100% of Nasdaq Execution Services, LLC's 10 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Nasdaq Execution Services, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Pennsylvania cohort · 1.57× state average

Nasdaq Execution Services, LLC sits above the Pennsylvania disclosure average

Nasdaq Execution Services, LLC reports 10 BrokerCheck disclosures, 1.57× the Pennsylvania average of 6.4 across 81 graded firms with a principal-office state on file.

In Pennsylvania, 39 firms carry Grade A and 3 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 Pennsylvania state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Nasdaq Execution Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nasdaq Execution Services, LLC ranks #696 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #13 of 81 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 Nasdaq Execution Services, LLC?
A grade of C reflects Nasdaq Execution Services, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 10 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Nasdaq Execution Services, LLC have?
Nasdaq Execution Services, LLC has 10 total FINRA disclosures, including 10 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Nasdaq Execution Services, LLC?
Nasdaq Execution Services, LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in PA (Small 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 Nasdaq Execution Services, LLC's disciplinary record?
You can verify Nasdaq Execution Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7270. 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). Nasdaq Execution Services, LLC's 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Nasdaq Execution Services, 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. Nasdaq Execution Services, LLC carries 10 disclosures across 3 branch offices (about 3.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

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

Read with this firm

  • Bbva Securities Inc. (NY) - 3.33 disclosures/office, nearest small firm peer to Nasdaq Execution Services, LLC's 3.33
  • Great Point Capital LLC (IL) - 3.25 disclosures/office, nearest small firm peer to Nasdaq Execution Services, LLC's 3.33
  • THE Vertical Group (NJ) - 3.25 disclosures/office, nearest small firm peer to Nasdaq Execution Services, LLC's 3.33
  • Firms in PA - state roster that includes Nasdaq Execution Services, LLC's registration home.
  • Red Flags in Advisor Records - How to read Nasdaq Execution Services, LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 10 disclosures behind Nasdaq Execution Services, LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Nasdaq Execution Services, LLC.
  • Compare firms - put Nasdaq Execution Services, LLC 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.