CRD #122657 · FINRA BrokerCheck + SEC IAPD

Rabo Securities USA, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rabo Securities USA, Inc. ranks #16,090 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #738 of 868 on the same disclosure sort used on the state browse page. Rabo Securities USA, Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 6 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
6
branch offices
0
disclosures
#16,090 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 122657 Rabo Securities USA, Inc.

Rabo Securities USA, Inc. · Grade A · 0 disc · 0.00/office · Small firm

  • CRD 122657
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 6
  • PER-OFF 0.00
  • RANK #16,090 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)

1031 Securities Inc.0.0016 Points LLC0.001851 Securities, Inc0.00Rabo Securities USA… (this)0.00
Disclosures per office among small firm peers (lower is cleaner)

Rabo Securities USA, Inc. ranks #16,090 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 5/5 - 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

6 offices

FINRA: Medium firm

Total disclosures

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

0.00 per office

0 ÷ 6 offices

Clean disclosure surface

Rabo Securities USA, Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 6 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10036
Formed
03/22/1999
State of Formation
Delaware
CRD Number
122657
SEC Number
65525

Clean BrokerCheck surface

Rabo Securities USA, Inc.'s clean BrokerCheck surface

Rabo Securities USA, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 6 branch offices (Grade A).

Rabo Securities USA, Inc. shows zero reportable disclosures across 6 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Rabo Securities USA, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

New York cohort · 0.00× state average

Rabo Securities USA, Inc. sits below the New York disclosure average

Rabo Securities USA, Inc. reports 0 BrokerCheck disclosures, 0.00× 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 Rabo Securities USA, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rabo Securities USA, Inc. ranks #16,090 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #738 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 A mean for Rabo Securities USA, Inc.?
A grade of A means Rabo Securities USA, Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Rabo Securities USA, Inc. have?
Rabo Securities USA, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Rabo Securities USA, Inc.?
Rabo Securities USA, Inc. operates 6 branch offices and is classified by FINRA as a medium 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 Rabo Securities USA, Inc.'s disciplinary record?
You can verify Rabo Securities USA, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 122657. 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 a broker-dealer's BrokerCheck record. Rabo Securities USA, Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Rabo Securities USA, Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Rabo Securities USA, Inc.'s 0.00
  • 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Rabo Securities USA, Inc.'s 0.00
  • 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Rabo Securities USA, Inc.'s 0.00
  • Firms in NY - state roster that includes Rabo Securities USA, Inc.'s registration home.
  • How to Vet a Financial Advisor - Use Rabo Securities USA, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
  • Reading BrokerCheck Reports - What a Grade A page like Rabo Securities USA, Inc.'s does and does not prove.
  • Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Rabo Securities USA, Inc..
  • Compare firms - put Rabo Securities USA, Inc. next to peers on grade and footprint.

Read our methodology - clean-record firms: what a Grade A surface does and does not prove.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.