State BrokerCheck inventory · July 2026

New Jersey broker-dealer grades

According to FINRA BrokerCheck as of July 2026, New Jersey ranks #6 of 56 by registered-firm inventory (114) and #2 of 56 by aggregate disclosure load (1,470), then #4 of 33 on disclosures-per-firm and #27 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

Compiled by PlainAdvisorCheck

#6
of 56 by firm inventory: 114
registered firms: 1,470
disclosures on file: 12.9
avg disclosures / firm

New Jersey at a glance

#6 of 56
registered-firm inventory: #2 of 56
aggregate disclosure load: #4 of 33
disclosures per firm (≥10 firms): #27 of 33
Grade-A share (≥10 firms)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Where New Jersey sits by disclosures per firm

COUNT-derived placement among 33 states and territories with at least 10 graded firms. Lower intensity is cleaner for residents; large multistate HQs can lift a state's average without describing every local office.

New Jersey vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

13 Among the lightest loads a lower disclosures-per-firm load than 88% of 33 floor-qualified states

Each bar is a band; taller bars hold more floor-qualified states. 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 · July 2026

Firm-size mix among 114 graded firms

FINRA BrokerCheck size classes in New Jersey. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

Large 5 firms (4%) Medium 6 firms (5%) Small 103 firms (90%)

114

Registered Firms

Clean Record (Grade A)

1,470

Total Disclosures

12.9

Avg Disclosures / Firm

Grade Distribution

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

Grade breakdown of 114 graded firms headquartered in New Jersey

Firms by Disclosure Count

#	Firm	Disclosures	Offices	Grade
1	UBS Financial Services Inc.Weehawken	926	6,346	C
2	Pershing LLCJersey City	106	18	D
3	Lightspeed Financial Services Group LLCMorristown	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, LLCHazlet	19	8	C
10	GMS GroupEast Hanover	18	10	B
11	Hennion & Walsh, Inc.Parsippany	18	3	C
12	Pershing Advisor Solutions LLCJersey City	17	7	D
13	Sagetrader, LLCEnglewood	16	2	D
14	THE Vertical GroupRed Bank	13	4	C
15	R. Seelaus & Co., LLCChatham	12	7	B
16	Celadon Financial Group LLCMorristown	10	20	B
17	T.R. Winston & Company, LLCBedminster	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 LLCJersey City	7	4	D
22	World Investments, LLCLincroft	6	134	B
23	Moomoo Financial Inc.Jersey City	5	3	B
24	Financial Northeastern Securities, LLCFairfield	4	12	B
25	THE Leaders Group, Inc.Summit	4	73	B
26	ACS Execution Services, LLCRed Bank	3	2	B
27	APW Capital, Inc.Totowa	3	53	B
28	Essex Securities LLCJersey City	3	3	B
29	First Brokers Securities LLCJersey City	3	3	B
30	Grodsky Associates, Inc.West Orange	3	2	B
31	Lord Abbett Distributor LLCJersey 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, LLCClifton	3	2	B
35	Alternative Execution GroupBayonne	2	3	B
36	Bettinger & Leech Financial Corp.Englewood Cliffs	2	2	B
37	Mayhill Agency, LLCLittle Silver	2	2	B
38	Nylife Distributors LLCJersey City	2	33	B
39	Sturdivant & Co. IncVoorhees	2	4	B
40	Tangent Capital Partners, LLCShort Hills	2	3	B
41	THE Winning Edge Financial GroupClifton	2	2	B
42	ABN Amro Securities (USA) LLCNew Brunswick	1	2	B
43	BLV SecuritiesOradell	1	3	B
44	Broad Street Capital Markets, LLCHolmdel	1	3	B
45	ChoicetradeEast 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 IncorporatedHillsborough	1	3	B
49	Digital Brokerage Services LLCJersey City	1	9	B
50	Empire Asset Management CompanyHolmdel	1	2	B

Heavy aggregate disclosure load

New Jersey in the denser-inventory third

New Jersey ranks #2 of 56 by aggregate BrokerCheck disclosures (1,470 events).

New Jersey sits in the denser third by registered-firm inventory (#6 of 56, 114 firms) as of July 2026. Grade-A share is 43.9% (50 of 114 graded) - cloudier third among floor-qualified states; D/F share is 7.9%. Heaviest raw book in-state: UBS Financial Services Inc. (926 disclosures across 6,346 offices).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - large multistate HQs in New Jersey can lift statewide totals without describing every local office. This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does New Jersey sit among states by BrokerCheck disclosure load?

New Jersey is in the heavier third by aggregate disclosure load (#2 of 56, 1,470 events) while inventory ranks #6 of 56. Aggregate load is not a judgment of regulators or any firm.

How many broker-dealer firms are registered in New Jersey?

New Jersey registers 114 BrokerCheck firms (#6 denser-third inventory). 50 (43.9%) hold a clean Grade-A record.

Which New Jersey broker-dealer has the most FINRA disclosures?

UBS Financial Services Inc. leads New Jersey's listing with 926 BrokerCheck disclosures across 6,346 offices (Grade C). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.

How should I read New Jersey's safety grades?

On New Jersey's heavier-load board, grades stay size-normalized (weighted disclosures ÷ branch footprint within size class). Zero-disclosure firms earn A. Editorial signals only - not FINRA ratings; see methodology.

Is this official New Jersey broker data?

Yes. New Jersey's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.

All New Jersey Firms → All States →

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

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for New Jersey. New Jersey ranks #6 by firm inventory and #2 by disclosure load in the PlainAdvisorCheck extract as of July 2026.

Compiled by PlainAdvisorCheck, Independent data publisher