CRD #36671 · FINRA BrokerCheck + SEC IAPD

Pershing Advisor Solutions LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pershing Advisor Solutions LLC ranks #392 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #12 of 114 on the same disclosure sort used on the state browse page. Pershing Advisor Solutions LLC carries 17 BrokerCheck disclosures across 7 branch offices - elevated load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
7
branch offices
17
disclosures
#392 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 36671 Pershing Advisor Solutions LLC

Pershing Advisor Solutions LLC · Grade D · 17 disc · 2.43/office · Small firm

  • CRD 36671
  • GRADE D
  • DISC 17
  • REG 17
  • ARB 0
  • CIV 0
  • BRANCH 7
  • PER-OFF 2.43
  • RANK #392 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Velocity Clearing, LLC (2.38 disc/office)

Velocity Clearing, LLC2.38Carnes Capital Corporation2.50C&C Trading L.L.C.2.50Pershing Advisor So… (this)2.43
Disclosures per office among small firm peers (lower is cleaner)

Pershing Advisor Solutions LLC ranks #392 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.43 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

7 offices

FINRA: Medium firm

Total disclosures

17 events

On FINRA BrokerCheck

Regulatory events

17 actions

100% of all disclosures

Disclosures per office

2.43 per office

17 ÷ 7 offices

Pershing Advisor Solutions 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 17
Arbitrations 0
Civil Events 0
Total 17

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

Disclosure category share

Regulatory 17 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Jersey City, NJ
CRD Number
36671

Regulator-heavy mix

Pershing Advisor Solutions LLC in the heavier-disclosure third

Pershing Advisor Solutions LLC carries 17 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#392 of 20,055). Regulator-initiated events are 100% of the book (17 regulatory / 0 arbitration / 0 civil).

100% of Pershing Advisor Solutions LLC's 17 disclosures are regulator-initiated (17 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New Jersey cohort · 1.32× state average

Pershing Advisor Solutions LLC sits above the New Jersey disclosure average

Pershing Advisor Solutions LLC reports 17 BrokerCheck disclosures, 1.32× the New Jersey average of 12.9 across 114 graded firms with a principal-office state on file.

In New Jersey, 50 firms carry Grade A and 2 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 Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Pershing Advisor Solutions LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pershing Advisor Solutions LLC ranks #392 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #12 of 114 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 Pershing Advisor Solutions LLC?
A grade of D reflects Pershing Advisor Solutions LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 17 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Pershing Advisor Solutions LLC have?
Pershing Advisor Solutions LLC has 17 total FINRA disclosures, including 17 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Pershing Advisor Solutions LLC?
Pershing Advisor Solutions LLC operates 7 branch offices and is classified by FINRA as a medium firm, registered in NJ (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 Pershing Advisor Solutions LLC's disciplinary record?
You can verify Pershing Advisor Solutions LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36671. 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). Pershing Advisor Solutions LLC's 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Pershing Advisor Solutions 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. Pershing Advisor Solutions LLC carries 17 disclosures across 7 branch offices (about 2.43 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 Pershing Advisor Solutions LLC, both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Velocity Clearing, LLC (NJ) - 2.38 disclosures/office, nearest small firm peer to Pershing Advisor Solutions LLC's 2.43
  • Carnes Capital Corporation (FL) - 2.50 disclosures/office, nearest small firm peer to Pershing Advisor Solutions LLC's 2.43
  • C&C Trading L.L.C. (CT) - 2.50 disclosures/office, nearest small firm peer to Pershing Advisor Solutions LLC's 2.43
  • Firms in NJ - state roster that includes Pershing Advisor Solutions LLC's registration home.
  • Red Flags in Advisor Records - How to read Pershing Advisor Solutions LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 17 disclosures behind Pershing Advisor Solutions LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Pershing Advisor Solutions LLC.
  • Compare firms - put Pershing Advisor Solutions 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.