CRD #33875 · FINRA BrokerCheck + SEC IAPD

Susquehanna Investment Group

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Susquehanna Investment Group ranks #126 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #4 of 81 on the same disclosure sort used on the state browse page. Susquehanna Investment Group carries 42 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
3
branch offices
42
disclosures
#126 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 33875 Susquehanna Investment Group

Susquehanna Investment Group · Grade D · 42 disc · 14.00/office · Small firm

  • CRD 33875
  • GRADE D
  • DISC 42
  • REG 42
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 14.00
  • RANK #126 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Lightspeed Financial Services Group LLC (15.67 disc/office)

Lightspeed Financial Se…15.67G1 Execution Services, LLC11.67X-Change Financial Acce…16.50Susquehanna Investm… (this)14.00
Disclosures per office among small firm peers (lower is cleaner)

Susquehanna Investment Group ranks #126 of 20,055 by disclosure count among graded broker-dealers; heavy load at 14.00 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

Branch offices

3 offices

FINRA: Small firm

Total disclosures

42 events

On FINRA BrokerCheck

Regulatory events

42 actions

100% of all disclosures

Disclosures per office

14.00 per office

42 ÷ 3 offices

Disclosure Intensity

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

Susquehanna Investment Group - 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 42
Arbitrations 0
Civil Events 0
Total 42

Counts for Susquehanna Investment Group reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 42 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Bala Cynwyd, PA
CRD Number
33875

Regulator-heavy mix

Susquehanna Investment Group in the heavier-disclosure third

Susquehanna Investment Group carries 42 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#126 of 20,055). Regulator-initiated events are 100% of the book (42 regulatory / 0 arbitration / 0 civil).

100% of Susquehanna Investment Group's 42 disclosures are regulator-initiated (42 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Pennsylvania cohort · 6.58× state average

Susquehanna Investment Group sits above the Pennsylvania disclosure average

Susquehanna Investment Group reports 42 BrokerCheck disclosures, 6.58× the Pennsylvania average of 6.4 across 81 graded firms with a principal-office state on file.

In Pennsylvania, 39 firms carry Grade A and 3 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 Pennsylvania state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Susquehanna Investment Group sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Susquehanna Investment Group ranks #126 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #4 of 81 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 Susquehanna Investment Group?
A grade of D reflects Susquehanna Investment Group's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 42 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Susquehanna Investment Group have?
Susquehanna Investment Group has 42 total FINRA disclosures, including 42 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Susquehanna Investment Group?
Susquehanna Investment Group operates 3 branch offices and is classified by FINRA as a small firm, registered in PA (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 Susquehanna Investment Group's disciplinary record?
You can verify Susquehanna Investment Group's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 33875. 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). Susquehanna Investment Group's 42 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Susquehanna Investment Group 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. Susquehanna Investment Group carries 42 disclosures across 3 branch offices (about 14.00 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 Susquehanna Investment Group, both outside PA 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.