CRD #104353 · FINRA BrokerCheck + SEC IAPD

THE Vertical Group

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Vertical Group ranks #540 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #14 of 114 on the same disclosure sort used on the state browse page. THE Vertical Group carries 13 BrokerCheck disclosures across 4 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4
branch offices
13
disclosures
#540 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 104353 THE Vertical Group

THE Vertical Group · Grade C · 13 disc · 3.25/office · Small firm

  • CRD 104353
  • GRADE C
  • DISC 13
  • REG 13
  • ARB 0
  • CIV 0
  • BRANCH 4
  • PER-OFF 3.25
  • RANK #540 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Great Point Capital LLC (3.25 disc/office)

Great Point Capital LLC3.25Belvedere Trading LLC3.22Spartan Capital Securit…3.20THE Vertical Group (this)3.25
Disclosures per office among small firm peers (lower is cleaner)

THE Vertical Group ranks #540 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.25 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

4 offices

FINRA: Small firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

13 actions

100% of all disclosures

Disclosures per office

3.25 per office

13 ÷ 4 offices

THE Vertical Group vs. every disclosing firm

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

3 a cleaner per-office record than 3% 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%). This entry sits in this band. 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 13
Arbitrations 0
Civil Events 0
Total 13

Counts for THE Vertical Group reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 13 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Red Bank, NJ, 07701
Formed
08/11/2005
State of Formation
New York
CRD Number
104353
SEC Number
52814

Regulator-heavy mix

THE Vertical Group in the heavier-disclosure third

THE Vertical Group carries 13 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#540 of 20,055). Regulator-initiated events are 100% of the book (13 regulatory / 0 arbitration / 0 civil).

100% of THE Vertical Group's 13 disclosures are regulator-initiated (13 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New Jersey cohort · 1.01× state average

THE Vertical Group tracks near the New Jersey disclosure average

THE Vertical Group reports 13 BrokerCheck disclosures, about 1.01× the New Jersey average of 12.9 across 114 graded firms.

In New Jersey, 50 firms carry Grade A and 2 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 Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does THE Vertical Group sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Vertical Group ranks #540 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #14 of 114 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 THE Vertical Group?
A grade of C reflects THE Vertical Group's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 13 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does THE Vertical Group have?
THE Vertical Group has 13 total FINRA disclosures, including 13 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is THE Vertical Group?
THE Vertical Group operates 4 branch offices and is classified by FINRA as a small firm, registered in NJ (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 THE Vertical Group's disciplinary record?
You can verify THE Vertical Group's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 104353. 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). THE Vertical Group's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid THE Vertical Group 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. THE Vertical Group carries 13 disclosures across 4 branch offices (about 3.25 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 THE Vertical Group, both outside NJ 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.