CRD #39473 · FINRA BrokerCheck + SEC IAPD

Tradestation Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tradestation Securities, Inc. ranks #170 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #8 of 251 on the same disclosure sort used on the state browse page. Tradestation Securities, Inc. carries 33 BrokerCheck disclosures across 22 branch offices - elevated load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
22
branch offices
33
disclosures
#170 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 39473 Tradestation Securities, Inc.

Tradestation Securities, Inc. · Grade B · 33 disc · 1.50/office · Mid-sized firm

  • CRD 39473
  • GRADE B
  • DISC 33
  • REG 29
  • ARB 4
  • CIV 0
  • BRANCH 22
  • PER-OFF 1.50
  • RANK #170 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Pruco Securities, LLC. (1.54 disc/office)

Pruco Securities, LLC.1.54Sanford C. Bernstein & …1.30Keybanc Capital Markets…1.28Tradestation Securi… (this)1.50
Disclosures per office among mid-sized firm peers (lower is cleaner)

Tradestation Securities, Inc. ranks #170 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.50 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

22 offices

FINRA: Small firm

Total disclosures

33 events

On FINRA BrokerCheck

Regulatory events

29 actions

88% of all disclosures

Disclosures per office

1.50 per office

33 ÷ 22 offices

Tradestation Securities, Inc. 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 17% 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 29
Arbitrations 4
Civil Events 0
Total 33

Counts for Tradestation Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 29 Arbitration 4 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Plantation, FL
CRD Number
39473

Regulator-heavy mix

Tradestation Securities, Inc. in the heavier-disclosure third

Tradestation Securities, Inc. carries 33 BrokerCheck disclosures across 22 branch offices - a heavier-third raw book among graded firms (#170 of 20,055). Regulator-initiated events are 88% of the book (29 regulatory / 4 arbitration / 0 civil).

88% of Tradestation Securities, Inc.'s 33 disclosures are regulator-initiated (29 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Florida cohort · 7.19× state average

Tradestation Securities, Inc. sits above the Florida disclosure average

Tradestation Securities, Inc. reports 33 BrokerCheck disclosures, 7.19× the Florida average of 4.6 across 251 graded firms with a principal-office state on file.

In Florida, 152 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 Florida state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Tradestation Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tradestation Securities, Inc. ranks #170 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #8 of 251 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 Tradestation Securities, Inc.?
A grade of B reflects Tradestation Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 33 total disclosures across 22 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Tradestation Securities, Inc. have?
Tradestation Securities, Inc. has 33 total FINRA disclosures, including 29 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Tradestation Securities, Inc.?
Tradestation Securities, Inc. operates 22 branch offices and is classified by FINRA as a small firm, registered in FL (Mid-sized 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 Tradestation Securities, Inc.'s disciplinary record?
You can verify Tradestation Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 39473. 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). Tradestation Securities, Inc.'s 33 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Tradestation Securities, Inc. 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. Tradestation Securities, Inc. carries 33 disclosures across 22 branch offices (about 1.50 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 Tradestation Securities, Inc., both outside FL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Pruco Securities, LLC. (NJ) - 1.54 disclosures/office, nearest mid-sized firm peer to Tradestation Securities, Inc.'s 1.50
  • Sanford C. Bernstein & Co., LLC (TN) - 1.30 disclosures/office, nearest mid-sized firm peer to Tradestation Securities, Inc.'s 1.50
  • Keybanc Capital Markets Inc. (OH) - 1.28 disclosures/office, nearest mid-sized firm peer to Tradestation Securities, Inc.'s 1.50
  • Firms in FL - state roster that includes Tradestation Securities, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Tradestation Securities, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 33 disclosures behind Tradestation Securities, Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Tradestation Securities, Inc..
  • Compare firms - put Tradestation Securities, Inc. 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.