Branch offices
0 offices
FINRA: Small firm
CRD #121465 · FINRA BrokerCheck + SEC IAPD
Whitaker Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Whitaker Securities LLC ranks #1,335 of 20,055 by disclosure count (most disclosures first). Whitaker Securities LLC carries 6 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 6
- disclosures
- #1,335 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 121465 Whitaker Securities LLC
Whitaker Securities LLC · Grade D · 6 disc · 6.00/office · Single-office firm
- CRD 121465
- GRADE D
- DISC 6
- REG 6
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,335 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: ACN Securities Inc. (6.00 disc/office)
Whitaker Securities LLC ranks #1,335 of 20,055 by disclosure count among graded broker-dealers; heavy load at 6.00 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
6 events
On FINRA BrokerCheck
Regulatory events
6 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 6 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 6 |
Counts for Whitaker Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 6 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 05/13/2002
- State of Formation
- Delaware
- CRD Number
- 121465
- SEC Number
- 65419
Regulator-heavy mix
Whitaker Securities LLC in the heavier-disclosure third
Whitaker Securities LLC carries 6 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,335 of 20,055). Regulator-initiated events are 100% of the book (6 regulatory / 0 arbitration / 0 civil).
100% of Whitaker Securities LLC's 6 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Whitaker Securities 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 Whitaker Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Whitaker Securities LLC ranks #1,335 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 D mean for Whitaker Securities LLC?
A grade of D reflects Whitaker Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 6 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Whitaker Securities LLC have?
Whitaker Securities LLC has 6 total FINRA disclosures, including 6 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Whitaker Securities LLC?
Whitaker Securities 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 Whitaker Securities LLC's disciplinary record?
You can verify Whitaker Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 121465. 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). Whitaker Securities LLC's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Whitaker 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. Whitaker Securities LLC carries 6 disclosures across 0 branch offices (about 6.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- ACN Securities Inc. - 6.00 disclosures/office, nearest single-office firm peer to Whitaker Securities LLC's 6.00
- American Investors Group, Inc. - 6.00 disclosures/office, nearest single-office firm peer to Whitaker Securities LLC's 6.00
- Apollo Partners, L.P. - 6.00 disclosures/office, nearest single-office firm peer to Whitaker Securities LLC's 6.00
- Red Flags in Advisor Records - How to read Whitaker Securities LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 6 disclosures behind Whitaker Securities LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Whitaker Securities LLC.
- Compare firms - put Whitaker 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.