Branch offices
3 offices
FINRA: Large firm
CRD #35874 · FINRA BrokerCheck + SEC IAPD
Susquehanna Securities, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Susquehanna Securities, LLC ranks #76 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #2 of 81 on the same disclosure sort used on the state browse page. Susquehanna Securities, LLC carries 60 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade F.
- Grade F
- Safety grade
- 3
- branch offices
- 60
- disclosures
- #76 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 35874 Susquehanna Securities, LLC
Susquehanna Securities, LLC · Grade F · 60 disc · 20.00/office · Small firm
- CRD 35874
- GRADE F
- DISC 60
- REG 60
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 20.00
- RANK #76 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: IMC Financial Markets (20.00 disc/office)
Susquehanna Securities, LLC ranks #76 of 20,055 by disclosure count among graded broker-dealers; heavy load at 20.00 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
Total disclosures
60 events
On FINRA BrokerCheck
Regulatory events
60 actions
100% of all disclosures
Disclosures per office
20.00 per office
60 ÷ 3 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Susquehanna 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 | 60 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 60 |
Counts for Susquehanna Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 60 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Large
- Scope
- ACTIVE
- Location
- Bala Cynwyd, PA, 19004-1122
- Formed
- 08/31/2019
- State of Formation
- Delaware
- CRD Number
- 35874
- SEC Number
- 47034
Regulator-heavy mix
Susquehanna Securities, LLC in the heavier-disclosure third
Susquehanna Securities, LLC carries 60 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#76 of 20,055). Regulator-initiated events are 100% of the book (60 regulatory / 0 arbitration / 0 civil).
100% of Susquehanna Securities, LLC's 60 disclosures are regulator-initiated (60 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Susquehanna Securities, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Pennsylvania cohort · 9.40× state average
Susquehanna Securities, LLC sits above the Pennsylvania disclosure average
Susquehanna Securities, LLC reports 60 BrokerCheck disclosures, 9.40× 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 Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Susquehanna Securities, LLC ranks #76 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #2 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 F mean for Susquehanna Securities, LLC?
A grade of F reflects Susquehanna Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 60 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Susquehanna Securities, LLC have?
Susquehanna Securities, LLC has 60 total FINRA disclosures, including 60 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Susquehanna Securities, LLC?
Susquehanna Securities, LLC operates 3 branch offices and is classified by FINRA as a large 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 Securities, LLC's disciplinary record?
You can verify Susquehanna Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 35874. 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 Securities, LLC's 60 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Susquehanna 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. Susquehanna Securities, LLC carries 60 disclosures across 3 branch offices (about 20.00 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 Securities, LLC, both outside PA 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 (60 here).
Read with this firm
- IMC Financial Markets (IL) - 20.00 disclosures/office, nearest small firm peer to Susquehanna Securities, LLC's 20.00
- Ibkr Securities Services LLC (CT) - 21.00 disclosures/office, nearest small firm peer to Susquehanna Securities, LLC's 20.00
- Wolverine Trading, LLC (IL) - 21.00 disclosures/office, nearest small firm peer to Susquehanna Securities, LLC's 20.00
- Firms in PA - state roster that includes Susquehanna Securities, LLC's registration home.
- Red Flags in Advisor Records - How to read Susquehanna Securities, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 60 disclosures behind Susquehanna Securities, LLC's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Susquehanna Securities, LLC.
- Compare firms - put Susquehanna 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.