Highest Risk Firms

Active firms with Grade D or F — above-average disciplinary disclosure rates

⚠ High disclosure rates may indicate systemic compliance issues. Always verify directly at FINRA BrokerCheck before making investment decisions.
#Firm DisclosuresAdvisors GradeState
1 UBS FINANCIAL SERVICES INC. 925 1 F NJ
2 J.P. MORGAN SECURITIES LLC 546 1 F NY
3 EDWARD JONES 318 1 F MO
4 UBS SECURITIES LLC 317 1 F NY
5 CHARLES SCHWAB & CO., INC. 314 1 F TX
6 OPPENHEIMER & CO. INC. 285 1 F NY
7 LPL FINANCIAL LLC 284 1 F SC
8 CIBC WORLD MARKETS CORP. 162 1 F NY
9 BARCLAYS CAPITAL INC. 161 1 F NY
10 JEFFERIES LLC 137 1 F NY
11 SG AMERICAS SECURITIES, LLC 116 1 F NY
12 PERSHING LLC 106 1 F NJ
13 CANTOR FITZGERALD & CO. 97 1 F NY
14 HSBC SECURITIES (USA) INC. 94 1 F NY
15 OSAIC WEALTH, INC. 88 1 F AZ
16 ABN AMRO CLEARING USA LLC 83 1 F IL
17 INSTINET, LLC 80 1 F NY
18 VIRTU AMERICAS LLC 75 1 F NY
19 BOFA SECURITIES, INC. 71 1 F NY
20 SUSQUEHANNA SECURITIES, LLC 60 1 F PA
21 APEX CLEARING CORPORATION 57 1 F TX
22 STEPHENS 53 1 F AR
23 D.A. DAVIDSON & CO. 48 1 F MT
24 BMO CAPITAL MARKETS CORP. 47 1 F NY
25 COMMONWEALTH FINANCIAL NETWORK 45 1 F MA
26 AEGIS CAPITAL CORP. 42 1 F NY
27 MAREX CAPITAL MARKETS INC. 42 1 F NY
28 GTS SECURITIES LLC 38 1 F FL
29 OSAIC SERVICES, INC. 37 1 F AZ
30 EQUITABLE ADVISORS, LLC 37 1 F NY
31 MAXIM GROUP LLC 37 1 F NY
32 MOORS & CABOT, INC. 36 1 F MA
33 BGC FINANCIAL, L.P. 36 1 F NY
34 GROUP ONE TRADING LLC 33 1 F IL
35 X-CHANGE FINANCIAL ACCESS, LLC 33 1 F IL
36 WILLIAM BLAIR 32 1 F IL
37 SANCTUARY SECURITIES, INC. 31 1 F FL
38 GFI SECURITIES LLC 30 1 F NY
39 U.S. BANCORP INVESTMENTS, INC. 29 1 F MN
40 PTR, INC. 28 0 F NJ
41 NEEDHAM & COMPANY, LLC 27 1 F NY
42 GARDEN STATE SECURITIES, INC. 27 1 F NJ
43 PFS INVESTMENTS INC. 26 1 F GA
44 NEUBERGER BERMAN BD LLC 25 1 F NY
45 SRT SECURITIES LLC 25 1 F MI
46 BUCKMAN, BUCKMAN & REID, INC. 22 1 F NJ
47 A.G.P. / ALLIANCE GLOBAL PARTNERS 21 1 F CT
48 TD SECURITIES (USA) LLC 21 1 F NY
49 CARTY, HARDING & HEARN, INC. 20 1 F TN
50 LASALLE ST SECURITIES, L.L.C. 20 1 F IL
51 NYLIFE SECURITIES LLC 20 1 F NY
52 VELOCITY CLEARING, LLC 19 1 F NJ
53 SANTANDER SECURITIES LLC 19 1 F MA
54 GMS GROUP 18 1 F NJ
55 HENNION & WALSH, INC. 18 1 F NJ
56 TWO SIGMA SECURITIES, LLC 18 1 F NY
57 CTC, LLC 18 1 F IL
58 H.C.WAINWRIGHT & CO., LLC 16 1 F NY
59 D & D SECURITIES, INC. 16 0 F PA
60 LAZARD FRERES & CO. LLC 16 1 F NY
61 WESTPARK CAPITAL, INC. 16 1 F CA
62 MIZUHO SECURITIES USA LLC 16 1 F NY
63 JUMP TRADING, LLC 15 1 F IL
64 UNITED PLANNERS' FINANCIAL SERVICES OF AMERIC… 15 1 F AZ
65 MUTUAL OF OMAHA INVESTOR SERVICES, INC. 14 1 F NE
66 LAIDLAW & COMPANY (UK) LTD. 14 1 F —
67 STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC 14 1 F OR
68 STONEX SECURITIES INC. 13 1 F AL
69 THE VERTICAL GROUP 13 1 F NJ
70 FMSBONDS, INC. 13 1 F FL
71 BTIG, LLC 12 1 F CA
72 J.H. DARBIE & CO., INC. 12 1 F NY
73 INSIGHT SECURITIES, INC. 12 1 F IL
74 R. SEELAUS & CO., LLC 12 1 F NJ
75 SYNOVUS SECURITIES, INC. 12 1 F GA
76 TRADINGBLOCK 12 1 F IL
77 B. C. ZIEGLER AND COMPANY 12 1 F IL
78 TJM INVESTMENTS, LLC 12 1 F IL
79 BULLTICK, LLC 11 1 F FL
80 MONEY CONCEPTS CAPITAL CORP 11 1 F FL
81 CHAPIN, DAVIS 11 1 F MD
82 OPTIVER US LLC 11 1 F IL
83 HRT FINANCIAL LP 10 1 F NY
84 HERBERT J. SIMS & CO, INC. 10 1 F CT
85 ING FINANCIAL MARKETS LLC 10 1 F NY
86 SUMMIT SECURITIES GROUP LLC 10 1 F NY
87 SOUTHSTATE SECURITIES CORP. 10 1 F TN
88 UBS ASSET MANAGEMENT (US) INC. 10 1 F NY
89 LIQUIDNET, INC. 10 1 F NY
90 KENSINGTON CAPITAL CORP. 10 1 F NY
91 BBVA SECURITIES INC. 10 1 F NY
92 J. STREICHER & CO. L.L.C. 9 1 F NY
93 CAPIS 9 1 F TX
94 CFD INVESTMENTS, INC. 9 1 F IN
95 OSAIC INSTITUTIONS, INC. 9 1 F CT
96 HARBOUR INVESTMENTS, INC. 9 1 F WI
97 JONESTRADING 9 1 F CA
98 DRW SECURITIES, L.L.C. 9 1 F IL
99 &PARTNERS 9 1 F TN
100 U.S. SECURITIES, INTL. CORP. 9 1 F NY