CRD #6964 · FINRA BrokerCheck + SEC IAPD

Roosevelt & Cross, Incorporated

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Roosevelt & Cross, Incorporated ranks #1,871 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #154 of 868 on the same disclosure sort used on the state browse page. Roosevelt & Cross, Incorporated carries 4 BrokerCheck disclosures across 14 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
14
branch offices
4
disclosures
#1,871 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6964 Roosevelt & Cross, Incorporated

Roosevelt & Cross, Incorporated · Grade B · 4 disc · 0.29/office · Regional firm

  • CRD 6964
  • GRADE B
  • DISC 4
  • REG 4
  • ARB 0
  • CIV 0
  • BRANCH 14
  • PER-OFF 0.29
  • RANK #1,871 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Landolt Securities, Inc. (0.28 disc/office)

Landolt Securities, Inc.0.28Macquarie Capital (USA)…0.28Valley Financial Manage…0.29Roosevelt & Cross, … (this)0.29
Disclosures per office among regional firm peers (lower is cleaner)

Roosevelt & Cross, Incorporated ranks #1,871 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.29 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

14 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

4 actions

100% of all disclosures

Disclosures per office

0.29 per office

4 ÷ 14 offices

Roosevelt & Cross, Incorporated 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 72% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 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 4
Arbitrations 0
Civil Events 0
Total 4

Counts for Roosevelt & Cross, Incorporated reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
6964

Regulator-heavy mix

Roosevelt & Cross, Incorporated in the heavier-disclosure third

Roosevelt & Cross, Incorporated carries 4 BrokerCheck disclosures across 14 branch offices - a heavier-third raw book among graded firms (#1,871 of 20,055). Regulator-initiated events are 100% of the book (4 regulatory / 0 arbitration / 0 civil).

100% of Roosevelt & Cross, Incorporated's 4 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Roosevelt & Cross, Incorporated's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.46× state average

Roosevelt & Cross, Incorporated tracks near the New York disclosure average

Roosevelt & Cross, Incorporated reports 4 BrokerCheck disclosures, about 0.46× the New York average of 8.7 across 868 graded firms.

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 Roosevelt & Cross, Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Roosevelt & Cross, Incorporated ranks #1,871 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #154 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 Roosevelt & Cross, Incorporated?
A grade of B reflects Roosevelt & Cross, Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 4 total disclosures across 14 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Roosevelt & Cross, Incorporated have?
Roosevelt & Cross, Incorporated has 4 total FINRA disclosures, including 4 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Roosevelt & Cross, Incorporated?
Roosevelt & Cross, Incorporated operates 14 branch offices and is classified by FINRA as a small 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 Roosevelt & Cross, Incorporated's disciplinary record?
You can verify Roosevelt & Cross, Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6964. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Roosevelt & Cross, Incorporated 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. Roosevelt & Cross, Incorporated carries 4 disclosures across 14 branch offices (about 0.29 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 Roosevelt & Cross, Incorporated, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Landolt Securities, Inc. (IL) - 0.28 disclosures/office, nearest regional firm peer to Roosevelt & Cross, Incorporated's 0.29
  • Macquarie Capital (USA) Inc. (NY) - 0.28 disclosures/office, nearest regional firm peer to Roosevelt & Cross, Incorporated's 0.29
  • Valley Financial Management, Inc. (NY) - 0.29 disclosures/office, nearest regional firm peer to Roosevelt & Cross, Incorporated's 0.29
  • Firms in NY - state roster that includes Roosevelt & Cross, Incorporated's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Roosevelt & Cross, Incorporated.
  • Reading BrokerCheck Reports - How Roosevelt & Cross, Incorporated's 0.29 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Roosevelt & Cross, Incorporated.
  • Compare firms - put Roosevelt & Cross, Incorporated 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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.