Branch offices
2 offices
FINRA: Small firm
CRD #137862 · FINRA BrokerCheck + SEC IAPD
Sagetrader, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sagetrader, LLC ranks #427 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #13 of 114 on the same disclosure sort used on the state browse page. Sagetrader, LLC carries 16 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 2
- branch offices
- 16
- disclosures
- #427 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 137862 Sagetrader, LLC
Sagetrader, LLC · Grade D · 16 disc · 8.00/office · Small firm
- CRD 137862
- GRADE D
- DISC 16
- REG 16
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 8.00
- RANK #427 of 20,055
- BOOK Small firm
Nearest same-size peer: Dawson James Securities, Inc. (8.00 disc/office)
Sagetrader, LLC ranks #427 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.00 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
Total disclosures
16 events
On FINRA BrokerCheck
Regulatory events
16 actions
100% of all disclosures
Disclosures per office
8.00 per office
16 ÷ 2 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Sagetrader, LLC - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 16 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 16 |
Counts for Sagetrader, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 16 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Englewood, NJ
- CRD Number
- 137862
Regulator-heavy mix
Sagetrader, LLC in the heavier-disclosure third
Sagetrader, LLC carries 16 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#427 of 20,055). Regulator-initiated events are 100% of the book (16 regulatory / 0 arbitration / 0 civil).
100% of Sagetrader, LLC's 16 disclosures are regulator-initiated (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Sagetrader, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New Jersey cohort · 1.24× state average
Sagetrader, LLC sits above the New Jersey disclosure average
Sagetrader, LLC reports 16 BrokerCheck disclosures, 1.24× 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 Sagetrader, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sagetrader, LLC ranks #427 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #13 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 Sagetrader, LLC?
A grade of D reflects Sagetrader, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 16 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sagetrader, LLC have?
Sagetrader, LLC has 16 total FINRA disclosures, including 16 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sagetrader, LLC?
Sagetrader, LLC operates 2 branch offices and is classified by FINRA as a small 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 Sagetrader, LLC's disciplinary record?
You can verify Sagetrader, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 137862. 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). Sagetrader, LLC's 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Sagetrader, 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. Sagetrader, LLC carries 16 disclosures across 2 branch offices (about 8.00 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 Sagetrader, LLC, both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (16 here).
Read with this firm
- Dawson James Securities, Inc. (FL) - 8.00 disclosures/office, nearest small firm peer to Sagetrader, LLC's 8.00
- H.C.WAINWRIGHT & Co., LLC (NY) - 8.00 disclosures/office, nearest small firm peer to Sagetrader, LLC's 8.00
- SAL Equity Trading, GP (PA) - 8.00 disclosures/office, nearest small firm peer to Sagetrader, LLC's 8.00
- Firms in NJ - state roster that includes Sagetrader, LLC's registration home.
- Red Flags in Advisor Records - How to read Sagetrader, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 16 disclosures behind Sagetrader, LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Sagetrader, LLC.
- Compare firms - put Sagetrader, 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.