CRD #134284 · FINRA BrokerCheck + SEC IAPD

RQD* Clearing, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, RQD* Clearing, LLC ranks #1,299 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #118 of 868 on the same disclosure sort used on the state browse page. RQD* Clearing, LLC carries 6 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
2
branch offices
6
disclosures
#1,299 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 134284 RQD* Clearing, LLC

RQD* Clearing, LLC · Grade C · 6 disc · 3.00/office · Small firm

  • CRD 134284
  • GRADE C
  • DISC 6
  • REG 6
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 3.00
  • RANK #1,299 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Banyan Securities, LLC (3.00 disc/office)

Banyan Securities, LLC3.00Buell Securities Corp.3.00C. L. King & Associates…3.00RQD* Clearing, LLC (this)3.00
Disclosures per office among small firm peers (lower is cleaner)

RQD* Clearing, LLC ranks #1,299 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

6 events

On FINRA BrokerCheck

Regulatory events

6 actions

100% of all disclosures

Disclosures per office

3.00 per office

6 ÷ 2 offices

RQD* Clearing, LLC vs. every disclosing firm

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

3 a cleaner per-office record than 4% 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%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 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 6
Arbitrations 0
Civil Events 0
Total 6

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

Disclosure category share

Regulatory 6 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY, 10007
Formed
02/19/2021
State of Formation
Delaware
CRD Number
134284
SEC Number
66826

Regulator-heavy mix

RQD* Clearing, LLC in the heavier-disclosure third

RQD* Clearing, LLC carries 6 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#1,299 of 20,055). Regulator-initiated events are 100% of the book (6 regulatory / 0 arbitration / 0 civil).

100% of RQD* Clearing, LLC's 6 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.69× state average

RQD* Clearing, LLC tracks near the New York disclosure average

RQD* Clearing, LLC reports 6 BrokerCheck disclosures, about 0.69× 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 RQD* Clearing, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, RQD* Clearing, LLC ranks #1,299 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #118 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 C mean for RQD* Clearing, LLC?
A grade of C reflects RQD* Clearing, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 6 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does RQD* Clearing, LLC have?
RQD* Clearing, LLC has 6 total FINRA disclosures, including 6 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is RQD* Clearing, LLC?
RQD* Clearing, LLC 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 RQD* Clearing, LLC's disciplinary record?
You can verify RQD* Clearing, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 134284. 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). RQD* Clearing, LLC's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid RQD* Clearing, 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. RQD* Clearing, LLC carries 6 disclosures across 2 branch offices (about 3.00 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 RQD* Clearing, 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.