CRD #16360 · FINRA BrokerCheck + SEC IAPD

Needham & Company, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Needham & Company, LLC ranks #220 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #36 of 868 on the same disclosure sort used on the state browse page. Needham & Company, LLC carries 27 BrokerCheck disclosures across 11 branch offices - elevated load for a regional firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
11
branch offices
27
disclosures
#220 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16360 Needham & Company, LLC

Needham & Company, LLC · Grade D · 27 disc · 2.45/office · Regional firm

  • CRD 16360
  • GRADE D
  • DISC 27
  • REG 27
  • ARB 0
  • CIV 0
  • BRANCH 11
  • PER-OFF 2.45
  • RANK #220 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Garden State Securities, Inc. (2.70 disc/office)

Garden State Securities…2.70GFI Securities LLC2.73BGC Financial, L.P.2.77Needham & Company, LLC (this)2.45
Disclosures per office among regional firm peers (lower is cleaner)

Needham & Company, LLC ranks #220 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.45 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

11 offices

FINRA: Medium firm

Total disclosures

27 events

On FINRA BrokerCheck

Regulatory events

27 actions

100% of all disclosures

Disclosures per office

2.45 per office

27 ÷ 11 offices

Needham & Company, 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 8% 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%). This entry sits in this band. 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 27
Arbitrations 0
Civil Events 0
Total 27

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

Disclosure category share

Regulatory 27 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10177
Formed
04/04/2005
State of Formation
Delaware
CRD Number
16360
SEC Number
33772

Regulator-heavy mix

Needham & Company, LLC in the heavier-disclosure third

Needham & Company, LLC carries 27 BrokerCheck disclosures across 11 branch offices - a heavier-third raw book among graded firms (#220 of 20,055). Regulator-initiated events are 100% of the book (27 regulatory / 0 arbitration / 0 civil).

100% of Needham & Company, LLC's 27 disclosures are regulator-initiated (27 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 3.09× state average

Needham & Company, LLC sits above the New York disclosure average

Needham & Company, LLC reports 27 BrokerCheck disclosures, 3.09× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Needham & Company, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Needham & Company, LLC ranks #220 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #36 of 868 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 D mean for Needham & Company, LLC?
A grade of D reflects Needham & Company, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 27 total disclosures across 11 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Needham & Company, LLC have?
Needham & Company, LLC has 27 total FINRA disclosures, including 27 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Needham & Company, LLC?
Needham & Company, LLC operates 11 branch offices and is classified by FINRA as a medium firm, registered in NY (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 Needham & Company, LLC's disciplinary record?
You can verify Needham & Company, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16360. 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). Needham & Company, LLC's 27 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Needham & Company, 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. Needham & Company, LLC carries 27 disclosures across 11 branch offices (about 2.45 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 Needham & Company, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Garden State Securities, Inc. (NJ) - 2.70 disclosures/office, nearest regional firm peer to Needham & Company, LLC's 2.45
  • GFI Securities LLC (NY) - 2.73 disclosures/office, nearest regional firm peer to Needham & Company, LLC's 2.45
  • BGC Financial, L.P. (NY) - 2.77 disclosures/office, nearest regional firm peer to Needham & Company, LLC's 2.45
  • Firms in NY - state roster that includes Needham & Company, LLC's registration home.
  • Red Flags in Advisor Records - How to read Needham & Company, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 27 disclosures behind Needham & Company, LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Needham & Company, LLC.
  • Compare firms - put Needham & Company, 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.

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.