CRD #148960 · FINRA BrokerCheck + SEC IAPD

TWO Sigma Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TWO Sigma Securities, LLC ranks #364 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #49 of 868 on the same disclosure sort used on the state browse page. TWO Sigma Securities, LLC carries 18 BrokerCheck disclosures across 25 branch offices - moderate load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
25
branch offices
18
disclosures
#364 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 148960 TWO Sigma Securities, LLC

TWO Sigma Securities, LLC · Grade B · 18 disc · 0.72/office · Mid-sized firm

  • CRD 148960
  • GRADE B
  • DISC 18
  • REG 18
  • ARB 0
  • CIV 0
  • BRANCH 25
  • PER-OFF 0.72
  • RANK #364 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Andrew Garrett Inc. (0.68 disc/office)

Andrew Garrett Inc.0.68Aegis Capital Corp.0.63Stephens0.82TWO Sigma Securitie… (this)0.72
Disclosures per office among mid-sized firm peers (lower is cleaner)

TWO Sigma Securities, LLC ranks #364 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.72 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

25 offices

FINRA: Small firm

Total disclosures

18 events

On FINRA BrokerCheck

Regulatory events

18 actions

100% of all disclosures

Disclosures per office

0.72 per office

18 ÷ 25 offices

TWO Sigma Securities, LLC vs. every disclosing firm

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

1 a cleaner per-office record than 38% 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%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 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 18
Arbitrations 0
Civil Events 0
Total 18

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

Disclosure category share

Regulatory 18 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY, 10013
Formed
10/03/2008
State of Formation
Delaware
CRD Number
148960
SEC Number
68090

Regulator-heavy mix

TWO Sigma Securities, LLC in the heavier-disclosure third

TWO Sigma Securities, LLC carries 18 BrokerCheck disclosures across 25 branch offices - a heavier-third raw book among graded firms (#364 of 20,055). Regulator-initiated events are 100% of the book (18 regulatory / 0 arbitration / 0 civil).

100% of TWO Sigma Securities, LLC's 18 disclosures are regulator-initiated (18 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 2.06× state average

TWO Sigma Securities, LLC sits above the New York disclosure average

TWO Sigma Securities, LLC reports 18 BrokerCheck disclosures, 2.06× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does TWO Sigma Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TWO Sigma Securities, LLC ranks #364 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #49 of 868 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 TWO Sigma Securities, LLC?
A grade of B reflects TWO Sigma Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 18 total disclosures across 25 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does TWO Sigma Securities, LLC have?
TWO Sigma Securities, LLC has 18 total FINRA disclosures, including 18 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is TWO Sigma Securities, LLC?
TWO Sigma Securities, LLC operates 25 branch offices and is classified by FINRA as a small firm, registered in NY (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 TWO Sigma Securities, LLC's disciplinary record?
You can verify TWO Sigma Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 148960. 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). TWO Sigma Securities, LLC's 18 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid TWO Sigma 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. TWO Sigma Securities, LLC carries 18 disclosures across 25 branch offices (about 0.72 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 TWO Sigma Securities, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (18 here).

Hennion & Walsh, Inc. · NJ 18 disc. CTC, LLC · IL 18 disc. First Georgetown Securities, Inc. · VA 18 disc. GMS Group · NJ 18 disc.

Read with this firm

  • Andrew Garrett Inc. (NY) - 0.68 disclosures/office, nearest mid-sized firm peer to TWO Sigma Securities, LLC's 0.72
  • Aegis Capital Corp. (NY) - 0.63 disclosures/office, nearest mid-sized firm peer to TWO Sigma Securities, LLC's 0.72
  • Stephens (AR) - 0.82 disclosures/office, nearest mid-sized firm peer to TWO Sigma Securities, LLC's 0.72
  • Firms in NY - state roster that includes TWO Sigma Securities, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like TWO Sigma Securities, LLC.
  • Reading BrokerCheck Reports - How TWO Sigma Securities, LLC's 0.72 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to TWO Sigma Securities, LLC.
  • Compare firms - put TWO Sigma Securities, 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.