CRD #128351 · FINRA BrokerCheck + SEC IAPD

SG Americas Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SG Americas Securities, LLC ranks #40 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #13 of 868 on the same disclosure sort used on the state browse page. SG Americas Securities, LLC carries 115 BrokerCheck disclosures across 5 branch offices - heavy load for a small firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
5
branch offices
115
disclosures
#40 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 128351 SG Americas Securities, LLC

SG Americas Securities, LLC · Grade F · 115 disc · 23.00/office · Small firm

  • CRD 128351
  • GRADE F
  • DISC 115
  • REG 114
  • ARB 1
  • CIV 0
  • BRANCH 5
  • PER-OFF 23.00
  • RANK #40 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Dash Financial Technologies LLC (23.00 disc/office)

Dash Financial Technolo…23.00Wolverine Execution Ser…21.50Ibkr Securities Service…21.00SG Americas Securit… (this)23.00
Disclosures per office among small firm peers (lower is cleaner)

SG Americas Securities, LLC ranks #40 of 20,055 by disclosure count among graded broker-dealers; heavy load at 23.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

5 offices

FINRA: Large firm

Total disclosures

115 events

On FINRA BrokerCheck

Regulatory events

114 actions

99% of all disclosures

Disclosures per office

23.00 per office

115 ÷ 5 offices

Disclosure Intensity

Disclosures per branch office, the firm's disclosure load relative to its operating footprint.

SG Americas Securities, 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 114
Arbitrations 1
Civil Events 0
Total 115

Counts for SG Americas Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 114 Arbitration 1 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10167
Formed
08/08/2003
State of Formation
Delaware
CRD Number
128351
SEC Number
66125

Regulator-heavy mix

SG Americas Securities, LLC in the heavier-disclosure third

SG Americas Securities, LLC carries 115 BrokerCheck disclosures across 5 branch offices - a heavier-third raw book among graded firms (#40 of 20,055). Regulator-initiated events are 99% of the book (114 regulatory / 1 arbitration / 0 civil).

99% of SG Americas Securities, LLC's 115 disclosures are regulator-initiated (114 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 13× state average

SG Americas Securities, LLC sits above the New York disclosure average

SG Americas Securities, LLC reports 115 BrokerCheck disclosures, 13× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

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 SG Americas Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SG Americas Securities, LLC ranks #40 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #13 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 F mean for SG Americas Securities, LLC?
A grade of F reflects SG Americas Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 115 total disclosures across 5 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does SG Americas Securities, LLC have?
SG Americas Securities, LLC has 115 total FINRA disclosures, including 114 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is SG Americas Securities, LLC?
SG Americas Securities, LLC operates 5 branch offices and is classified by FINRA as a large 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 SG Americas Securities, LLC's disciplinary record?
You can verify SG Americas Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 128351. 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). SG Americas Securities, LLC's 115 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid SG Americas Securities, 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. SG Americas Securities, LLC carries 115 disclosures across 5 branch offices (about 23.00 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 SG Americas Securities, 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.