Branch offices
1 office
FINRA: Small firm
CRD #21368 · FINRA BrokerCheck + SEC IAPD
Vontobel Securities Ltd.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vontobel Securities Ltd. ranks #19,335 of 20,055 by disclosure count (most disclosures first). Vontobel Securities Ltd. has a clean FINRA BrokerCheck record, no reportable disclosures across its 1 branch office, earning a Grade A.
- Grade A
- Safety grade
- 1
- branch office
- 0
- disclosures
- #19,335 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 21368 Vontobel Securities Ltd.
Vontobel Securities Ltd. · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 21368
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 1
- PER-OFF 0.00
- RANK #19,335 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Vontobel Securities Ltd. ranks #19,335 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 1 offices
Clean disclosure surface
Vontobel Securities Ltd. has zero reportable FINRA BrokerCheck disclosures in this extract across 1 branch office (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Zurich
- CRD Number
- 21368
Clean BrokerCheck surface
Vontobel Securities Ltd.'s clean BrokerCheck surface
Vontobel Securities Ltd. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 1 branch office (Grade A).
Vontobel Securities Ltd. shows zero reportable disclosures across 1 branch office in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Vontobel Securities Ltd.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Vontobel Securities Ltd. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vontobel Securities Ltd. ranks #19,335 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 A mean for Vontobel Securities Ltd.?
A grade of A means Vontobel Securities Ltd. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Vontobel Securities Ltd. have?
Vontobel Securities Ltd. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Vontobel Securities Ltd.?
Vontobel Securities Ltd. operates 1 branch office 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 Vontobel Securities Ltd.'s disciplinary record?
You can verify Vontobel Securities Ltd.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 21368. 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 BrokerCheck record. Vontobel Securities Ltd. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Vontobel Securities Ltd.'s 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Vontobel Securities Ltd.'s 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Vontobel Securities Ltd.'s 0.00
- How to Vet a Financial Advisor - Use Vontobel Securities Ltd.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Vontobel Securities Ltd.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Vontobel Securities Ltd..
- Compare firms - put Vontobel Securities Ltd. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.