New Jersey

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

New Jersey at a glance

As of July 2026, New Jersey registers 114 broker-dealer firms on FINRA BrokerCheck - 50 carry a clean record and 1,470 disclosures are on file statewide.

114
registered firms
50
with a clean record (Grade A)
1,470
total disclosures statewide
12.9
disclosures per firm (avg)
114
Registered Firms
50
Clean Record (Grade A)
1,470
Total Disclosures
12.9
Avg Disclosures / Firm

How New Jersey ranks

A state's raw firm count and its disciplinary clean-record rate measure two different things, and they do not always move together. A jurisdiction can host a large number of broker-dealer firms simply because it is a major financial hub, while a smaller state with far fewer registered firms can post a cleaner disciplinary record in relative terms, or vice versa. Comparing both rankings side by side, rather than looking at either figure in isolation, gives a fuller picture of what is actually happening on the ground in a given state.

By firm count, New Jersey is #6 of 56 states and territories. By clean-record rate (Grade A share, among the 33 states with at least 10 registered firms, a floor that keeps a state with only a handful of firms from swinging to an extreme rate on a tiny sample), it ranks #27 of 33. These ranks diverge notably -- a larger firm footprint here does not translate into a proportionally cleaner record. Neither ranking implies wrongdoing on its own; always review an individual firm's own size-normalized grade before drawing a conclusion about it specifically.

Grade Distribution

How New Jersey's 114 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (50)50 firmsB, low (50)50 firmsC, typical (5)5 firmsD, elevated (7)7 firmsF, heaviest (2)2 firms
Grade breakdown of 114 graded firms headquartered in New Jersey

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 UBS Financial Services Inc. Weehawken 926 6,346 C
2 Pershing LLC Jersey City 106 18 D
3 Lightspeed Financial Services Group LLC Morristown 47 3 F
4 Pruco Securities, LLC. Newark 43 28 D
5 PTR, Inc. Collingswood 28 1 F
6 Garden State Securities, Inc. Red Bank 27 10 C
7 Network 1 Financial Securities Inc. Red Bank 26 13 B
8 Buckman, Buckman & Reid, Inc. Little Silver 22 3 D
9 Velocity Clearing, LLC Hazlet 19 8 C
10 GMS Group East Hanover 18 10 B
11 Hennion & Walsh, Inc. Parsippany 18 3 C
12 Pershing Advisor Solutions LLC Jersey City 17 7 D
13 Sagetrader, LLC Englewood 16 2 D
14 THE Vertical Group Red Bank 13 4 C
15 R. Seelaus & Co., LLC Chatham 12 7 B
16 Celadon Financial Group LLC Morristown 10 20 B
17 T.R. Winston & Company, LLC Bedminster 10 5 B
18 THE Jeffrey Matthews Financial Group, L.L.C. Florham Park 8 9 B
19 Alexander Capital, L.P. Red Bank 7 13 B
20 BCG Securities, Inc. Cherry Hill 7 25 B
21 Dealerweb LLC Jersey City 7 4 D
22 World Investments, LLC Lincroft 6 134 B
23 Moomoo Financial Inc. Jersey City 5 3 B
24 Financial Northeastern Securities, LLC Fairfield 4 12 B
25 THE Leaders Group, Inc. Summit 4 73 B
26 ACS Execution Services, LLC Red Bank 3 2 B
27 APW Capital, Inc. Totowa 3 53 B
28 Essex Securities LLC Jersey City 3 3 B
29 First Brokers Securities LLC Jersey City 3 3 B
30 Grodsky Associates, Inc. West Orange 3 2 B
31 Lord Abbett Distributor LLC Jersey City 3 2 D
32 Nationwide Planning Associates Inc. Fair Lawn 3 27 B
33 NW Capital Markets Inc. Bloomfield 3 2 B
34 VBC Securities, LLC Clifton 3 2 B
35 Alternative Execution Group Bayonne 2 3 B
36 Bettinger & Leech Financial Corp. Englewood Cliffs 2 2 B
37 Mayhill Agency, LLC Little Silver 2 2 B
38 Nylife Distributors LLC Jersey City 2 33 B
39 Sturdivant & Co. Inc Voorhees 2 4 B
40 Tangent Capital Partners, LLC Short Hills 2 3 B
41 THE Winning Edge Financial Group Clifton 2 2 B
42 ABN Amro Securities (USA) LLC New Brunswick 1 2 B
43 BLV Securities Oradell 1 3 B
44 Broad Street Capital Markets, LLC Holmdel 1 3 B
45 Choicetrade East Brunswick 1 3 B
46 Clearview Trading Advisors, Inc. Tenafly 1 2 B
47 Corebridge Capital Services, Inc. Jersey City 1 5 B
48 Darwood Associates Incorporated Hillsborough 1 3 B
49 Digital Brokerage Services LLC Jersey City 1 9 B
50 Empire Asset Management Company Holmdel 1 2 B

Inside New Jersey's Broker-Dealer Landscape

New Jersey has 114 actively registered broker-dealer firms in FINRA's public register, of which 50 (43.9%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 1,470 disclosures on BrokerCheck, averaging 12.9 per firm. Grade distribution across New Jersey's broker-dealers: 50 graded A, 50 graded B, 5 graded C, 7 graded D, and 2 graded F. That means 43.9% of graded firms hold an A and 7.9% fall into the D or F bands.

Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations, large multistate firms headquartered in New Jersey will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any New Jersey advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

Frequently asked questions

How many broker-dealer firms are registered in New Jersey?
New Jersey has 114 actively registered broker-dealer firms on FINRA BrokerCheck, of which 50 (43.9%) hold a clean Grade-A record with no reportable disclosures.
Which New Jersey broker-dealer has the most FINRA disclosures?
Among firms registered in New Jersey, UBS Financial Services Inc. carries the most reported BrokerCheck disclosures (926 across 6,346 branch offices). Disclosure totals reflect reported events, not proven violations, larger firms naturally carry more. Always review the specific records on FINRA BrokerCheck.
How are PlainAdvisorCheck safety grades calculated?
Grades are size-normalized: a firm's weighted disclosure load is divided by its branch-office footprint, then ranked within its size class. Firms with zero disclosures earn an A regardless of size. Grades are editorial signals, not FINRA ratings. See our methodology for the exact formula.
Is this official New Jersey broker data?
Yes. All firm records come from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD) - the official public registries for U.S. broker-dealers. PlainAdvisorCheck aggregates and size-normalizes them; the underlying records are public domain.
All New Jersey Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Related

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on SEC/FINRA regulatory filing data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.