Branch offices
5 offices
FINRA: Small firm
CRD #14857 · FINRA BrokerCheck + SEC IAPD
Thornburg Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Thornburg Securities LLC ranks #18,524 of 20,055 by disclosure count (most disclosures first). Among firms registered in NM, it ranks #1 of 1 on the same disclosure sort used on the state browse page. Thornburg Securities LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 5 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 5
- branch offices
- 0
- disclosures
- #18,524 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 14857 Thornburg Securities LLC
Thornburg Securities LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 14857
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 5
- PER-OFF 0.00
- RANK #18,524 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Thornburg Securities LLC ranks #18,524 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 5 offices
Clean disclosure surface
Thornburg Securities LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 5 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Santa Fe, NM
- CRD Number
- 14857
Clean BrokerCheck surface
Thornburg Securities LLC's clean BrokerCheck surface
Thornburg Securities LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 5 branch offices (Grade A).
Thornburg Securities LLC shows zero reportable disclosures across 5 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Thornburg Securities LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Thornburg Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Thornburg Securities LLC ranks #18,524 of 20,055 by disclosure count (most disclosures first). Among firms registered in NM, it ranks #1 of 1 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 A mean for Thornburg Securities LLC?
A grade of A means Thornburg Securities LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Thornburg Securities LLC have?
Thornburg Securities LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Thornburg Securities LLC?
Thornburg Securities LLC operates 5 branch offices and is classified by FINRA as a small firm, registered in NM (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 Thornburg Securities LLC's disciplinary record?
You can verify Thornburg Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14857. 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 BrokerCheck record. Thornburg Securities LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Thornburg Securities LLC, both outside NM so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (5 here).
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Thornburg Securities LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Thornburg Securities LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Thornburg Securities LLC's 0.00
- Firms in NM - state roster that includes Thornburg Securities LLC's registration home.
- How to Vet a Financial Advisor - Use Thornburg Securities LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Thornburg Securities LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Thornburg Securities LLC.
- Compare firms - put Thornburg Securities LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.