CRD #140546 · FINRA BrokerCheck + SEC IAPD

Tandem Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tandem Securities, Inc. ranks #2,423 of 20,055 by disclosure count (most disclosures first). Among firms registered in KS, it ranks #5 of 20 on the same disclosure sort used on the state browse page. Tandem Securities, Inc. carries 3 BrokerCheck disclosures across 4 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
4
branch offices
3
disclosures
#2,423 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 140546 Tandem Securities, Inc.

Tandem Securities, Inc. · Grade B · 3 disc · 0.75/office · Small firm

  • CRD 140546
  • GRADE B
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 4
  • PER-OFF 0.75
  • RANK #2,423 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Carl M. Hennig, Inc. (0.75 disc/office)

Carl M. Hennig, Inc.0.75Cohen & Company Securit…0.75Dorn & Co., Inc.0.75Tandem Securities, … (this)0.75
Disclosures per office among small firm peers (lower is cleaner)

Tandem Securities, Inc. ranks #2,423 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.75 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

4 offices

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

0.75 per office

3 ÷ 4 offices

Tandem Securities, Inc. 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 37% 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%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 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 3
Arbitrations 0
Civil Events 0
Total 3

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

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Topeka, KS
CRD Number
140546

Regulator-heavy mix

Tandem Securities, Inc. in the heavier-disclosure third

Tandem Securities, Inc. carries 3 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#2,423 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of Tandem Securities, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Kansas cohort · 1.94× state average

Tandem Securities, Inc. sits above the Kansas disclosure average

Tandem Securities, Inc. reports 3 BrokerCheck disclosures, 1.94× the Kansas average of 1.6 across 20 graded firms with a principal-office state on file.

In Kansas, 7 firms carry Grade A and 0 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 Kansas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Tandem Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tandem Securities, Inc. ranks #2,423 of 20,055 by disclosure count (most disclosures first). Among firms registered in KS, it ranks #5 of 20 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 Tandem Securities, Inc.?
A grade of B reflects Tandem Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 3 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Tandem Securities, Inc. have?
Tandem Securities, Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Tandem Securities, Inc.?
Tandem Securities, Inc. operates 4 branch offices and is classified by FINRA as a small firm, registered in KS (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 Tandem Securities, Inc.'s disciplinary record?
You can verify Tandem Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 140546. 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 a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Tandem Securities, Inc. 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. Tandem Securities, Inc. carries 3 disclosures across 4 branch offices (about 0.75 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Carl M. Hennig, Inc. (WI) - 0.75 disclosures/office, nearest small firm peer to Tandem Securities, Inc.'s 0.75
  • Cohen & Company Securities, LLC (NY) - 0.75 disclosures/office, nearest small firm peer to Tandem Securities, Inc.'s 0.75
  • Dorn & Co., Inc. (MN) - 0.75 disclosures/office, nearest small firm peer to Tandem Securities, Inc.'s 0.75
  • Firms in KS - state roster that includes Tandem Securities, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Tandem Securities, Inc..
  • Reading BrokerCheck Reports - How Tandem Securities, Inc.'s 0.75 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Tandem Securities, Inc..
  • Compare firms - put Tandem Securities, Inc. 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.