CRD #32034 · FINRA BrokerCheck + SEC IAPD

VAN DER Moolen Specialists USA, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, VAN DER Moolen Specialists USA, LLC ranks #807 of 20,055 by disclosure count (most disclosures first). VAN DER Moolen Specialists USA, LLC carries 9 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
9
disclosures
#807 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 32034 VAN DER Moolen Specialists USA, LLC

VAN DER Moolen Specialists USA, LLC · Grade D · 9 disc · 9.00/office · Single-office firm

  • CRD 32034
  • GRADE D
  • DISC 9
  • REG 9
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #807 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Allen Douglas Securities, Inc. (9.00 disc/office)

Allen Douglas Securitie…9.00American Portfolios Fin…9.00Amerifinancial9.00VAN DER Moolen Spec… (this)9.00
Disclosures per office among single-office firm peers (lower is cleaner)

VAN DER Moolen Specialists USA, LLC ranks #807 of 20,055 by disclosure count among graded broker-dealers; heavy load at 9.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

9 events

On FINRA BrokerCheck

Regulatory events

9 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 9
Arbitrations 0
Civil Events 0
Total 9

Counts for VAN DER Moolen Specialists USA, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 9 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
32034

Regulator-heavy mix

VAN DER Moolen Specialists USA, LLC in the heavier-disclosure third

VAN DER Moolen Specialists USA, LLC carries 9 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#807 of 20,055). Regulator-initiated events are 100% of the book (9 regulatory / 0 arbitration / 0 civil).

100% of VAN DER Moolen Specialists USA, LLC's 9 disclosures are regulator-initiated (9 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of VAN DER Moolen Specialists USA, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does VAN DER Moolen Specialists USA, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, VAN DER Moolen Specialists USA, LLC ranks #807 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 VAN DER Moolen Specialists USA, LLC?
A grade of D reflects VAN DER Moolen Specialists USA, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 9 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does VAN DER Moolen Specialists USA, LLC have?
VAN DER Moolen Specialists USA, LLC has 9 total FINRA disclosures, including 9 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is VAN DER Moolen Specialists USA, LLC?
VAN DER Moolen Specialists USA, 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 VAN DER Moolen Specialists USA, LLC's disciplinary record?
You can verify VAN DER Moolen Specialists USA, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 32034. 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). VAN DER Moolen Specialists USA, LLC's 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid VAN DER Moolen Specialists USA, 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. VAN DER Moolen Specialists USA, LLC carries 9 disclosures across 0 branch offices (about 9.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.