CRD #170937 · FINRA BrokerCheck + SEC IAPD

SI Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SI Securities, LLC ranks #4,759 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #334 of 868 on the same disclosure sort used on the state browse page. SI Securities, LLC carries 1 BrokerCheck disclosure across 1 branch office - elevated load for a single-office firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1
branch office
1
disclosure
#4,759 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 170937 SI Securities, LLC

SI Securities, LLC · Grade B · 1 disc · 1.00/office · Single-office firm

  • CRD 170937
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 1.00
  • RANK #4,759 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)

1ST BCCW Capital Corp1.0021 Capital Group, Inc.1.003 Bridges Securities1.00SI Securities, LLC (this)1.00
Disclosures per office among single-office firm peers (lower is cleaner)

SI Securities, LLC ranks #4,759 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 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

1 office

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

1.00 per office

1 ÷ 1 offices

SI Securities, LLC vs. every disclosing firm

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

1 a cleaner per-office record than 24% 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%). This entry sits in this band. 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 1
Arbitrations 0
Civil Events 0
Total 1

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

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY, 10007
Formed
03/26/2013
State of Formation
New York
CRD Number
170937
SEC Number
69440

Regulator-heavy mix

SI Securities, LLC in the heavier-disclosure third

SI Securities, LLC carries 1 BrokerCheck disclosure across 1 branch office - a heavier-third raw book among graded firms (#4,759 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of SI Securities, LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.11× state average

SI Securities, LLC sits below the New York disclosure average

SI Securities, LLC reports 1 BrokerCheck disclosure, 0.11× 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 SI Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SI Securities, LLC ranks #4,759 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #334 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 SI Securities, LLC?
A grade of B reflects SI Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does SI Securities, LLC have?
SI Securities, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is SI Securities, LLC?
SI Securities, LLC operates 1 branch office and is classified by FINRA as a small firm, registered in NY (Single-office 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 SI Securities, LLC's disciplinary record?
You can verify SI Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 170937. 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 BrokerCheck. For SI Securities, LLC, the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid SI 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. SI Securities, LLC carries 1 disclosure across 1 branch office (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to SI Securities, LLC's 1.00
  • 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to SI Securities, LLC's 1.00
  • 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to SI Securities, LLC's 1.00
  • Firms in NY - state roster that includes SI Securities, LLC's registration home.
  • Red Flags in Advisor Records - How to read SI Securities, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 1 disclosure behind SI Securities, LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as SI Securities, LLC.
  • Compare firms - put SI Securities, 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.