New Jersey

Broker-dealer firm disciplinary records from FINRA BrokerCheck

40
Total Firms
40
Active Firms
39
Total Advisors
1,231
Total Disclosures

Grade Distribution

A
14
firms
B
0
firms
C
0
firms
D
0
firms
F
26
firms

Firms by Disclosure Count

Firm Disclosures Advisors Grade Status
UBS FINANCIAL SERVICES INC. 925 1 F Active
PERSHING LLC 106 1 F Active
PTR, INC. 28 0 F Active
GARDEN STATE SECURITIES, INC. 27 1 F Active
BUCKMAN, BUCKMAN & REID, INC. 22 1 F Active
VELOCITY CLEARING, LLC 19 1 F Active
GMS GROUP 18 1 F Active
HENNION & WALSH, INC. 18 1 F Active
THE VERTICAL GROUP 13 1 F Active
R. SEELAUS & CO., LLC 12 1 F Active
BCG SECURITIES, INC. 7 1 F Active
DEALERWEB LLC 7 1 F Active
WORLD INVESTMENTS, LLC 6 1 F Active
THE LEADERS GROUP, INC. 4 1 F Active
APW CAPITAL, INC. 3 1 F Active
NW CAPITAL MARKETS INC. 3 1 F Active
VBC SECURITIES, LLC 3 1 F Active
NYLIFE DISTRIBUTORS LLC 2 1 F Active
ABN AMRO SECURITIES (USA) LLC 1 1 F Active
BLV SECURITIES 1 1 F Active
ETORO USA SECURITIES INC. 1 1 F Active
KR SECURITIES, LLC 1 1 F Active
L.O. THOMAS & CO. INC. 1 1 F Active
LIBUCKI & CO., LLC 1 1 F Active
NCG SECURITIES LLC 1 1 F Active
WBB SECURITIES, LLC 1 1 F Active
APA SECURITIES, LLC 0 1 A Active
APTO PARTNERS, LLC 0 1 A Active
ASTOR RIDGE N.A. LLP 0 1 A Active
CRB SECURITIES, LLC 0 1 A Active
DLCC PRIME 0 1 A Active
FELDSTEIN FINANCIAL GROUP, LLC 0 1 A Active
LS SECURITIES, LLC 0 1 A Active
MAGV SECURITIES, INC. 0 1 A Active
NOVELLUS SERVICES, LLC 0 1 A Active
PAG FINANCIAL, LLC 0 1 A Active
PGB SECURITIES LLC 0 1 A Active
SCRED SECURITIES US LLC 0 1 A Active
THEMIS TRADING LLC 0 1 A Active
YORKVILLE SECURITIES, LLC 0 1 A Active

Inside New Jersey's Broker-Dealer Landscape

New Jersey is home to 40 broker-dealer firms in FINRA's public register, of which 40 (100.0%) are currently marked ACTIVE. Those firms employ 39 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.

The state's aggregate disciplinary footprint totals 1,231 disclosures on BrokerCheck, averaging 30.8 per firm. Grade distribution across New Jersey's broker-dealers: 14 graded A, 0 graded B, 0 graded C, 0 graded D, and 26 graded F. That means 35.0% of graded firms hold an A and 65.0% 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.

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