CRD #5167 · FINRA BrokerCheck + SEC IAPD

Nylife Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nylife Securities LLC ranks #306 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #42 of 868 on the same disclosure sort used on the state browse page. Nylife Securities LLC carries 20 BrokerCheck disclosures across 2,345 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2,345
branch offices
20
disclosures
#306 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5167 Nylife Securities LLC

Nylife Securities LLC · Grade B · 20 disc · 0.01/office · National firm

  • CRD 5167
  • GRADE B
  • DISC 20
  • REG 13
  • ARB 7
  • CIV 0
  • BRANCH 2,345
  • PER-OFF 0.01
  • RANK #306 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: LPL Financial LLC (0.01 disc/office)

LPL Financial LLC0.01Cetera Wealth Services,…0.01MML Investors Services,…0.01Nylife Securities LLC (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

Nylife Securities LLC ranks #306 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 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

2,345 offices

FINRA: Large firm

Total disclosures

20 events

On FINRA BrokerCheck

Regulatory events

13 actions

65% of all disclosures

Disclosures per office

0.01 per office

20 ÷ 2,345 offices

Nylife Securities LLC vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 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 13
Arbitrations 7
Civil Events 0
Total 20

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

Disclosure category share

Regulatory 13 Arbitration 7 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10010
Formed
01/01/2007
State of Formation
Delaware
CRD Number
5167
SEC Number
15517

Lower disclosures per office

Nylife Securities LLC in the heavier-disclosure third

Nylife Securities LLC carries 20 BrokerCheck disclosures across 2,345 branch offices - a heavier-third raw book among graded firms (#306 of 20,055). Regulator-initiated events are 65% of the book (13 regulatory / 7 arbitration / 0 civil).

Nylife Securities LLC runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 2.29× state average

Nylife Securities LLC sits above the New York disclosure average

Nylife Securities LLC reports 20 BrokerCheck disclosures, 2.29× 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 Nylife Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nylife Securities LLC ranks #306 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #42 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 B mean for Nylife Securities LLC?
A grade of B reflects Nylife Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 20 total disclosures across 2,345 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Nylife Securities LLC have?
Nylife Securities LLC has 20 total FINRA disclosures, including 13 regulatory events, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Nylife Securities LLC?
Nylife Securities LLC operates 2,345 branch offices and is classified by FINRA as a large firm, registered in NY (National 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 Nylife Securities LLC's disciplinary record?
You can verify Nylife Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5167. 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). Nylife Securities LLC's 20 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Nylife Securities 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. Nylife Securities LLC carries 20 disclosures across 2,345 branch offices (about 0.01 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 Nylife Securities 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

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.