CRD #36816 · FINRA BrokerCheck + SEC IAPD

Tafferer Trading, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tafferer Trading, LLC ranks #181 of 20,055 by disclosure count (most disclosures first). Tafferer Trading, LLC carries 31 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
31
disclosures
#181 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 36816 Tafferer Trading, LLC

Tafferer Trading, LLC · Grade F · 31 disc · 31.00/office · Single-office firm

  • CRD 36816
  • GRADE F
  • DISC 31
  • REG 29
  • ARB 1
  • CIV 1
  • BRANCH 0
  • PER-OFF n/a
  • RANK #181 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Centex Securities, Incorporated (31.00 disc/office)

Centex Securities, Inco…31.00Invest Financial Corpor…31.00SLK-Hull Derivatives LLC31.00Tafferer Trading, LLC (this)31.00
Disclosures per office among single-office firm peers (lower is cleaner)

Tafferer Trading, LLC ranks #181 of 20,055 by disclosure count among graded broker-dealers; heavy load at 31.00 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

0 offices

FINRA: Small firm

Total disclosures

31 events

On FINRA BrokerCheck

Regulatory events

29 actions

94% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 29
Arbitrations 1
Civil Events 1
Total 31

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

Disclosure category share

Regulatory 29 Arbitration 1 Civil 1

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
06/25/2002
State of Formation
Delaware
CRD Number
36816
SEC Number
47474

Regulator-heavy mix

Tafferer Trading, LLC in the heavier-disclosure third

Tafferer Trading, LLC carries 31 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#181 of 20,055). Regulator-initiated events are 94% of the book (29 regulatory / 1 arbitration / 1 civil).

94% of Tafferer Trading, LLC's 31 disclosures are regulator-initiated (29 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Tafferer Trading, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tafferer Trading, LLC ranks #181 of 20,055 by disclosure count (most disclosures first). 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 Tafferer Trading, LLC?
A grade of F reflects Tafferer Trading, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 31 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Tafferer Trading, LLC have?
Tafferer Trading, LLC has 31 total FINRA disclosures, including 29 regulatory events, 1 arbitration, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Tafferer Trading, LLC?
Tafferer Trading, LLC operates 0 branch offices and is classified by FINRA as a small firm (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 Tafferer Trading, LLC's disciplinary record?
You can verify Tafferer Trading, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36816. 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). Tafferer Trading, LLC's 31 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Tafferer Trading, 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. Tafferer Trading, LLC carries 31 disclosures across 0 branch offices (about 31.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.