Branch offices
0 offices
FINRA: Small firm
CRD #5633 · FINRA BrokerCheck + SEC IAPD
TD Ameritrade Clearing, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Ameritrade Clearing, Inc. ranks #88 of 20,055 by disclosure count (most disclosures first). TD Ameritrade Clearing, Inc. carries 55 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 55
- disclosures
- #88 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 5633 TD Ameritrade Clearing, Inc.
TD Ameritrade Clearing, Inc. · Grade F · 55 disc · 55.00/office · Single-office firm
- CRD 5633
- GRADE F
- DISC 55
- REG 27
- ARB 28
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #88 of 20,055
- BOOK Single-office firm
Nearest same-size peer: ABN Amro Incorporated (55.00 disc/office)
TD Ameritrade Clearing, Inc. ranks #88 of 20,055 by disclosure count among graded broker-dealers; heavy load at 55.00 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
55 events
On FINRA BrokerCheck
Regulatory events
27 actions
49% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 27 |
| Arbitrations | 28 |
| Civil Events | 0 |
| Total | 55 |
Counts for TD Ameritrade Clearing, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 27 Arbitration 28 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 5633
Heavy disclosure book
TD Ameritrade Clearing, Inc. in the heavier-disclosure third
TD Ameritrade Clearing, Inc. carries 55 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#88 of 20,055). Mix is 27 regulatory, 28 arbitration, and 0 civil (49% regulator share).
TD Ameritrade Clearing, Inc. ranks #88 of 20,055 by BrokerCheck disclosure count among graded firms (55 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of TD Ameritrade Clearing, Inc.'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 TD Ameritrade Clearing, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Ameritrade Clearing, Inc. ranks #88 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 TD Ameritrade Clearing, Inc.?
A grade of F reflects TD Ameritrade Clearing, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 55 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does TD Ameritrade Clearing, Inc. have?
TD Ameritrade Clearing, Inc. has 55 total FINRA disclosures, including 27 regulatory events, 28 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is TD Ameritrade Clearing, Inc.?
TD Ameritrade Clearing, Inc. 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 TD Ameritrade Clearing, Inc.'s disciplinary record?
You can verify TD Ameritrade Clearing, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5633. 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). TD Ameritrade Clearing, Inc.'s 55 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid TD Ameritrade Clearing, 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. TD Ameritrade Clearing, Inc. carries 55 disclosures across 0 branch offices (about 55.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- ABN Amro Incorporated - 55.00 disclosures/office, nearest single-office firm peer to TD Ameritrade Clearing, Inc.'s 55.00
- Foresters Financial Services, Inc. - 55.00 disclosures/office, nearest single-office firm peer to TD Ameritrade Clearing, Inc.'s 55.00
- Herzog, Heine, Geduld, LLC - 55.00 disclosures/office, nearest single-office firm peer to TD Ameritrade Clearing, Inc.'s 55.00
- Red Flags in Advisor Records - How to read TD Ameritrade Clearing, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 55 disclosures behind TD Ameritrade Clearing, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as TD Ameritrade Clearing, Inc..
- Compare firms - put TD Ameritrade Clearing, 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.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.