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.