CRD #46300 · FINRA BrokerCheck + SEC IAPD

TJM Investments, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TJM Investments, LLC ranks #593 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #24 of 200 on the same disclosure sort used on the state browse page. TJM Investments, LLC carries 12 BrokerCheck disclosures across 7 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
7
branch offices
12
disclosures
#593 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 46300 TJM Investments, LLC

TJM Investments, LLC · Grade B · 12 disc · 1.71/office · Small firm

  • CRD 46300
  • GRADE B
  • DISC 12
  • REG 12
  • ARB 0
  • CIV 0
  • BRANCH 7
  • PER-OFF 1.71
  • RANK #593 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: R. Seelaus & Co., LLC (1.71 disc/office)

R. Seelaus & Co., LLC1.71Dealerweb LLC1.75Monex Securities, Inc.1.75TJM Investments, LLC (this)1.71
Disclosures per office among small firm peers (lower is cleaner)

TJM Investments, LLC ranks #593 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.71 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

7 offices

FINRA: Small firm

Total disclosures

12 events

On FINRA BrokerCheck

Regulatory events

12 actions

100% of all disclosures

Disclosures per office

1.71 per office

12 ÷ 7 offices

TJM Investments, LLC vs. every disclosing firm

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

2 a cleaner per-office record than 16% 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%). This entry sits in this band. 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 12
Arbitrations 0
Civil Events 0
Total 12

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

Disclosure category share

Regulatory 12 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Chicago, IL, 60606
Formed
10/13/1998
State of Formation
Illinois
CRD Number
46300
SEC Number
51370

Regulator-heavy mix

TJM Investments, LLC in the heavier-disclosure third

TJM Investments, LLC carries 12 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#593 of 20,055). Regulator-initiated events are 100% of the book (12 regulatory / 0 arbitration / 0 civil).

100% of TJM Investments, LLC's 12 disclosures are regulator-initiated (12 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Illinois cohort · 2.36× state average

TJM Investments, LLC sits above the Illinois disclosure average

TJM Investments, LLC reports 12 BrokerCheck disclosures, 2.36× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 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 Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does TJM Investments, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TJM Investments, LLC ranks #593 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #24 of 200 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 B mean for TJM Investments, LLC?
A grade of B reflects TJM Investments, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 12 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does TJM Investments, LLC have?
TJM Investments, LLC has 12 total FINRA disclosures, including 12 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is TJM Investments, LLC?
TJM Investments, LLC operates 7 branch offices and is classified by FINRA as a small firm, registered in IL (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 TJM Investments, LLC's disciplinary record?
You can verify TJM Investments, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 46300. 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). TJM Investments, LLC's 12 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid TJM Investments, 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. TJM Investments, LLC carries 12 disclosures across 7 branch offices (about 1.71 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 TJM Investments, LLC, both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • R. Seelaus & Co., LLC (NJ) - 1.71 disclosures/office, nearest small firm peer to TJM Investments, LLC's 1.71
  • Dealerweb LLC (NJ) - 1.75 disclosures/office, nearest small firm peer to TJM Investments, LLC's 1.71
  • Monex Securities, Inc. (TX) - 1.75 disclosures/office, nearest small firm peer to TJM Investments, LLC's 1.71
  • Firms in IL - state roster that includes TJM Investments, LLC's registration home.
  • Red Flags in Advisor Records - How to read TJM Investments, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 12 disclosures behind TJM Investments, LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as TJM Investments, LLC.
  • Compare firms - put TJM Investments, 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.