CRD #5953 · FINRA BrokerCheck + SEC IAPD

Vanderbilt Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vanderbilt Securities, LLC ranks #1,330 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #119 of 868 on the same disclosure sort used on the state browse page. Vanderbilt Securities, LLC carries 6 BrokerCheck disclosures across 179 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
179
branch offices
6
disclosures
#1,330 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5953 Vanderbilt Securities, LLC

Vanderbilt Securities, LLC · Grade B · 6 disc · 0.03/office · Large firm

  • CRD 5953
  • GRADE B
  • DISC 6
  • REG 5
  • ARB 1
  • CIV 0
  • BRANCH 179
  • PER-OFF 0.03
  • RANK #1,330 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: First Command Brokerage Services, Inc. (0.03 disc/office)

First Command Brokerage…0.03Neuberger Berman BD LLC0.03Lifemark Securities Corp.0.03Vanderbilt Securiti… (this)0.03
Disclosures per office among large firm peers (lower is cleaner)

Vanderbilt Securities, LLC ranks #1,330 of 20,055 by disclosure count among graded broker-dealers; light load at 0.03 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

179 offices

FINRA: Medium firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

5 actions

83% of all disclosures

Disclosures per office

0.03 per office

6 ÷ 179 offices

Vanderbilt Securities, LLC vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 94% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 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 5
Arbitrations 1
Civil Events 0
Total 6

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

Disclosure category share

Regulatory 5 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Woodbury, NY
CRD Number
5953

Lower disclosures per office

Vanderbilt Securities, LLC in the heavier-disclosure third

Vanderbilt Securities, LLC carries 6 BrokerCheck disclosures across 179 branch offices - a heavier-third raw book among graded firms (#1,330 of 20,055). Regulator-initiated events are 83% of the book (5 regulatory / 1 arbitration / 0 civil).

Vanderbilt Securities, LLC runs 0.03 disclosures per branch office (cleaner than 94% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.69× state average

Vanderbilt Securities, LLC tracks near the New York disclosure average

Vanderbilt Securities, LLC reports 6 BrokerCheck disclosures, about 0.69× the New York average of 8.7 across 868 graded firms.

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 Vanderbilt Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vanderbilt Securities, LLC ranks #1,330 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #119 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 Vanderbilt Securities, LLC?
A grade of B reflects Vanderbilt Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 6 total disclosures across 179 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Vanderbilt Securities, LLC have?
Vanderbilt Securities, LLC has 6 total FINRA disclosures, including 5 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Vanderbilt Securities, LLC?
Vanderbilt Securities, LLC operates 179 branch offices and is classified by FINRA as a medium firm, registered in NY (Large 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 Vanderbilt Securities, LLC's disciplinary record?
You can verify Vanderbilt Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5953. 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). Vanderbilt Securities, LLC's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Vanderbilt 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. Vanderbilt Securities, LLC carries 6 disclosures across 179 branch offices (about 0.03 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 Vanderbilt Securities, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.