Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #46740 · FINRA BrokerCheck + SEC IAPD
Trans World Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Trans World Securities LLC ranks #3,261 of 20,055 by disclosure count (most disclosures first). Trans World Securities LLC carries 2 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 2
- disclosures
- #3,261 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 46740 Trans World Securities LLC
Trans World Securities LLC · Grade B · 2 disc · 2.00/office · Single-office firm
- CRD 46740
- GRADE B
- DISC 2
- REG 1
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #3,261 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)
Trans World Securities LLC ranks #3,261 of 20,055 by disclosure count among graded broker-dealers; heavy load at 2.00 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
Total disclosures
2 events
On FINRA BrokerCheck
Regulatory events
1 action
50% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 2 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 1 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 46740
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Trans World Securities LLC
Trans World Securities LLC (broker-dealer, CRD# 46740) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 2 disclosures as of July 2026: 1 regulatory (50%), 1 arbitration, 0 civil. Letter grade B (4/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Trans World Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Trans World Securities LLC ranks #3,261 of 20,055 by disclosure count (most disclosures first). 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 Trans World Securities LLC?
A grade of B reflects Trans World Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Trans World Securities LLC have?
Trans World Securities LLC has 2 total FINRA disclosures, including 1 regulatory event, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Trans World Securities LLC?
Trans World Securities LLC operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 Trans World Securities LLC's disciplinary record?
You can verify Trans World Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 46740. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Trans World Securities 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. Trans World Securities LLC carries 2 disclosures across 0 branch offices (about 2.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Abramenko & Company, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Trans World Securities LLC's 2.00
- Abshier Webb Donnelly & Baker, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Trans World Securities LLC's 2.00
- ABW Trading, LLC - 2.00 disclosures/office, nearest single-office firm peer to Trans World Securities LLC's 2.00
- Red Flags in Advisor Records - How to read Trans World Securities LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 2 disclosures behind Trans World Securities LLC's Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Trans World Securities LLC.
- Compare firms - put Trans World Securities LLC next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.