CRD #5120 · FINRA BrokerCheck + SEC IAPD

O'toole Insurance & Securities

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, O'toole Insurance & Securities ranks #3,071 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #229 of 868 on the same disclosure sort used on the state browse page. O'toole Insurance & Securities carries 2 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
2
disclosures
#3,071 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5120 O'toole Insurance & Securities

O'toole Insurance & Securities · Grade B · 2 disc · 1.00/office · Small firm

  • CRD 5120
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.00
  • RANK #3,071 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00O'toole Insurance &… (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

O'toole Insurance & Securities ranks #3,071 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 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

2 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

1.00 per office

2 ÷ 2 offices

O'toole Insurance & Securities vs. every disclosing firm

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

1 a cleaner per-office record than 24% 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%). This entry sits in this band. 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 2
Arbitrations 0
Civil Events 0
Total 2

Counts for O'toole Insurance & Securities 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
College Point, NY
CRD Number
5120

Regulator-heavy mix

O'toole Insurance & Securities in the heavier-disclosure third

O'toole Insurance & Securities carries 2 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#3,071 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of O'toole Insurance & Securities's 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.23× state average

O'toole Insurance & Securities sits below the New York disclosure average

O'toole Insurance & Securities reports 2 BrokerCheck disclosures, 0.23× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

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 O'toole Insurance & Securities sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, O'toole Insurance & Securities ranks #3,071 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #229 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 O'toole Insurance & Securities?
A grade of B reflects O'toole Insurance & Securities's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 2 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does O'toole Insurance & Securities have?
O'toole Insurance & Securities 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 O'toole Insurance & Securities?
O'toole Insurance & Securities operates 2 branch offices and is classified by FINRA as a small firm, registered in NY (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 O'toole Insurance & Securities's disciplinary record?
You can verify O'toole Insurance & Securities's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5120. 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 O'toole Insurance & Securities, the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid O'toole Insurance & Securities 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. O'toole Insurance & Securities carries 2 disclosures across 2 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Access Securities, LLC (CT) - 1.00 disclosures/office, nearest small firm peer to O'toole Insurance & Securities's 1.00
  • ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to O'toole Insurance & Securities's 1.00
  • Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to O'toole Insurance & Securities's 1.00
  • Firms in NY - state roster that includes O'toole Insurance & Securities's registration home.
  • Red Flags in Advisor Records - How to read O'toole Insurance & Securities's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 2 disclosures behind O'toole Insurance & Securities's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as O'toole Insurance & Securities.
  • Compare firms - put O'toole Insurance & Securities 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.