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 #3602 · FINRA BrokerCheck + SEC IAPD
Transmittal Securities Corporation
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Transmittal Securities Corporation ranks #651 of 20,055 by disclosure count (most disclosures first). Transmittal Securities Corporation carries 11 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 11
- disclosures
- #651 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 3602 Transmittal Securities Corporation
Transmittal Securities Corporation · Grade D · 11 disc · 11.00/office · Single-office firm
- CRD 3602
- GRADE D
- DISC 11
- REG 11
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #651 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Asiel & Co. LLC (11.00 disc/office)
Transmittal Securities Corporation ranks #651 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
11 events
On FINRA BrokerCheck
Regulatory events
11 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 11 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 11 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 3602
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 Transmittal Securities Corporation
Transmittal Securities Corporation (broker-dealer, CRD# 3602) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 11 disclosures as of July 2026: 11 regulatory (100%), 0 arbitration, 0 civil. Letter grade D (2/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Transmittal Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Transmittal Securities Corporation ranks #651 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 D mean for Transmittal Securities Corporation?
A grade of D reflects Transmittal Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 11 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Transmittal Securities Corporation have?
Transmittal Securities Corporation has 11 total FINRA disclosures, including 11 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Transmittal Securities Corporation?
Transmittal Securities Corporation 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 Transmittal Securities Corporation's disciplinary record?
You can verify Transmittal Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3602. 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 Transmittal Securities Corporation 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. Transmittal Securities Corporation carries 11 disclosures across 0 branch offices (about 11.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Asiel & Co. LLC - 11.00 disclosures/office, nearest single-office firm peer to Transmittal Securities Corporation's 11.00
- Auerbach, Pollak & Richardson Inc. - 11.00 disclosures/office, nearest single-office firm peer to Transmittal Securities Corporation's 11.00
- Bayou Securities, LLC - 11.00 disclosures/office, nearest single-office firm peer to Transmittal Securities Corporation's 11.00
- Red Flags in Advisor Records - How to read Transmittal Securities Corporation's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 11 disclosures behind Transmittal Securities Corporation's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Transmittal Securities Corporation.
- Compare firms - put Transmittal Securities Corporation 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.