Branch offices
2 offices
FINRA: Small firm
CRD #137918 · FINRA BrokerCheck + SEC IAPD
Tobin & Company Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tobin & Company Securities LLC ranks #18,615 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #55 of 55 on the same disclosure sort used on the state browse page. Tobin & Company Securities LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #18,615 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 137918 Tobin & Company Securities LLC
Tobin & Company Securities LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 137918
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #18,615 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Tobin & Company Securities LLC ranks #18,615 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 ÷ 2 offices
Clean disclosure surface
Tobin & Company Securities LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Charlotte, NC
- CRD Number
- 137918
Clean BrokerCheck surface
Tobin & Company Securities LLC's clean BrokerCheck surface
Tobin & Company Securities LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Tobin & Company Securities LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Tobin & Company Securities LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
North Carolina cohort · 0.00× state average
Tobin & Company Securities LLC sits below the North Carolina disclosure average
Tobin & Company Securities LLC reports 0 BrokerCheck disclosures, 0.00× the North Carolina average of 4.3, lighter than most of the 55 graded firms filed there.
In North Carolina, 31 firms carry Grade A and 0 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 North Carolina state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Tobin & Company Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tobin & Company Securities LLC ranks #18,615 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #55 of 55 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 Tobin & Company Securities LLC?
A grade of A means Tobin & Company 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 Tobin & Company Securities LLC have?
Tobin & Company Securities LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Tobin & Company Securities LLC?
Tobin & Company Securities LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in NC (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 Tobin & Company Securities LLC's disciplinary record?
You can verify Tobin & Company Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 137918. 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. Tobin & Company Securities LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Tobin & Company Securities LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Tobin & Company Securities LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Tobin & Company Securities LLC's 0.00
- Firms in NC - state roster that includes Tobin & Company Securities LLC's registration home.
- How to Vet a Financial Advisor - Use Tobin & Company Securities LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Tobin & Company Securities LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Tobin & Company Securities LLC.
- Compare firms - put Tobin & Company 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.