CRD #18476 · FINRA BrokerCheck + SEC IAPD

TD Securities (USA) LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Securities (USA) LLC ranks #276 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #41 of 868 on the same disclosure sort used on the state browse page. TD Securities (USA) LLC carries 22 BrokerCheck disclosures across 19 branch offices - elevated load for a regional firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
19
branch offices
22
disclosures
#276 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 18476 TD Securities (USA) LLC

TD Securities (USA) LLC · Grade D · 22 disc · 1.16/office · Regional firm

  • CRD 18476
  • GRADE D
  • DISC 22
  • REG 22
  • ARB 0
  • CIV 0
  • BRANCH 19
  • PER-OFF 1.16
  • RANK #276 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Mizuho Securities USA LLC (1.23 disc/office)

Mizuho Securities USA LLC1.23Fidelity Distributors C…1.051ST Discount Brokerage,…1.00TD Securities (USA)… (this)1.16
Disclosures per office among regional firm peers (lower is cleaner)

TD Securities (USA) LLC ranks #276 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.16 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

19 offices

FINRA: Large firm

Total disclosures

22 events

On FINRA BrokerCheck

Regulatory events

22 actions

100% of all disclosures

Disclosures per office

1.16 per office

22 ÷ 19 offices

TD Securities (USA) LLC 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 24% 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%). This entry sits in this band. 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 22
Arbitrations 0
Civil Events 0
Total 22

Counts for TD Securities (USA) LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 22 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10017
Formed
11/01/2004
State of Formation
Delaware
CRD Number
18476
SEC Number
36747

Regulator-heavy mix

TD Securities (USA) LLC in the heavier-disclosure third

TD Securities (USA) LLC carries 22 BrokerCheck disclosures across 19 branch offices - a heavier-third raw book among graded firms (#276 of 20,055). Regulator-initiated events are 100% of the book (22 regulatory / 0 arbitration / 0 civil).

100% of TD Securities (USA) LLC's 22 disclosures are regulator-initiated (22 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 2.52× state average

TD Securities (USA) LLC sits above the New York disclosure average

TD Securities (USA) LLC reports 22 BrokerCheck disclosures, 2.52× 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 Securities (USA) LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Securities (USA) LLC ranks #276 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #41 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 D mean for TD Securities (USA) LLC?
A grade of D reflects TD Securities (USA) LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 22 total disclosures across 19 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does TD Securities (USA) LLC have?
TD Securities (USA) LLC has 22 total FINRA disclosures, including 22 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is TD Securities (USA) LLC?
TD Securities (USA) LLC operates 19 branch offices and is classified by FINRA as a large firm, registered in NY (Regional 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 Securities (USA) LLC's disciplinary record?
You can verify TD Securities (USA) LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 18476. 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 Securities (USA) LLC's 22 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid TD Securities (USA) 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 Securities (USA) LLC carries 22 disclosures across 19 branch offices (about 1.16 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 Securities (USA) 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

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.