CRD #1914 · FINRA BrokerCheck + SEC IAPD

TD Prime Services LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Prime Services LLC ranks #648 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #71 of 868 on the same disclosure sort used on the state browse page. TD Prime Services LLC carries 11 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
11
disclosures
#648 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1914 TD Prime Services LLC

TD Prime Services LLC · Grade C · 11 disc · 3.67/office · Small firm

  • CRD 1914
  • GRADE C
  • DISC 11
  • REG 11
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 3.67
  • RANK #648 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Bulltick, LLC (3.67 disc/office)

Bulltick, LLC3.67Shufro, Rose & Co., LLC3.67Wall Street Access3.78TD Prime Services LLC (this)3.67
Disclosures per office among small firm peers (lower is cleaner)

TD Prime Services LLC ranks #648 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.67 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

11 events

On FINRA BrokerCheck

Regulatory events

11 actions

100% of all disclosures

Disclosures per office

3.67 per office

11 ÷ 3 offices

TD Prime Services LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

4 a cleaner per-office record than 2% 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%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). This entry sits in this band. 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 11
Arbitrations 0
Civil Events 0
Total 11

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

Disclosure category share

Regulatory 11 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
1914

Regulator-heavy mix

TD Prime Services LLC in the heavier-disclosure third

TD Prime Services LLC carries 11 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#648 of 20,055). Regulator-initiated events are 100% of the book (11 regulatory / 0 arbitration / 0 civil).

100% of TD Prime Services LLC's 11 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.26× state average

TD Prime Services LLC sits above the New York disclosure average

TD Prime Services LLC reports 11 BrokerCheck disclosures, 1.26× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does TD Prime Services LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Prime Services LLC ranks #648 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #71 of 868 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 C mean for TD Prime Services LLC?
A grade of C reflects TD Prime Services LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 11 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does TD Prime Services LLC have?
TD Prime Services LLC has 11 total FINRA disclosures, including 11 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is TD Prime Services LLC?
TD Prime Services LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in NY (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 TD Prime Services LLC's disciplinary record?
You can verify TD Prime Services LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1914. 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 Prime Services LLC's 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid TD Prime Services 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. TD Prime Services LLC carries 11 disclosures across 3 branch offices (about 3.67 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 TD Prime Services LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Bulltick, LLC (FL) - 3.67 disclosures/office, nearest small firm peer to TD Prime Services LLC's 3.67
  • Shufro, Rose & Co., LLC - 3.67 disclosures/office, nearest small firm peer to TD Prime Services LLC's 3.67
  • Wall Street Access (NY) - 3.78 disclosures/office, nearest small firm peer to TD Prime Services LLC's 3.67
  • Firms in NY - state roster that includes TD Prime Services LLC's registration home.
  • Red Flags in Advisor Records - How to read TD Prime Services LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 11 disclosures behind TD Prime Services LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as TD Prime Services LLC.
  • Compare firms - put TD Prime Services 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.