State BrokerCheck inventory · July 2026

New York broker-dealer grades

According to FINRA BrokerCheck as of July 2026, New York ranks #1 of 56 by registered-firm inventory (868) and #1 of 56 by aggregate disclosure load (7,592), then #5 of 33 on disclosures-per-firm and #17 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.

#1
of 56 by firm inventory
868
registered firms
7,592
disclosures on file
8.7
avg disclosures / firm

New York at a glance

According to FINRA BrokerCheck as of July 2026, New York ranks #1 of 56 by registered-firm inventory (868) and #1 of 56 by aggregate disclosure load (7,592), then #5 of 33 on disclosures-per-firm and #17 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.

#1 of 56
registered-firm inventory
#1 of 56
aggregate disclosure load
#5 of 33
disclosures per firm (≥10 firms)
#17 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 York 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 York vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

9 Among the lightest loads a lower disclosures-per-firm load than 85% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). Below this entry. 4–6: 8 floor-qualified states (24%). Below this entry. 6–8: 1 floor-qualified states (3%). Below this entry. 8–10: 1 floor-qualified states (3%). This entry sits in this band. 10–12: 0 floor-qualified states (0%). Above this entry. 12–14: 2 floor-qualified states (6%). Above this entry. 14–16: 0 floor-qualified states (0%). Above this entry. 16–18: 0 floor-qualified states (0%). Above this entry. 18–20: 1 floor-qualified states (3%). Above this entry. 20–22: 0 floor-qualified states (0%). Above this entry. 22–24: 0 floor-qualified states (0%). Above this entry. 24–26: 0 floor-qualified states (0%). Above this entry. 26–28: 0 floor-qualified states (0%). Above this entry. 28–30: 0 floor-qualified states (0%). Above this entry. 30–32: 0 floor-qualified states (0%). Above this entry. 32–34: 0 floor-qualified states (0%). Above this entry. 34–36: 1 floor-qualified states (3%). Above this entry. New York 0 36 every state with ≥10 graded firms, bucketed by value

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 868 graded firms

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

868
Registered Firms
513
Clean Record (Grade A)
7,592
Total Disclosures
8.7
Avg Disclosures / Firm

Grade Distribution

How New York's 868 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (513)513 firmsB, low (248)248 firmsC, typical (66)66 firmsD, elevated (34)34 firmsF, heaviest (7)7 firms
Grade breakdown of 868 graded firms headquartered in New York

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 Citigroup Global Markets Inc. New York 1,233 2,867 C
2 Morgan Stanley & Co. LLC New York 552 44 F
3 J.P. Morgan Securities LLC New York 547 6,951 B
4 RBC Capital Markets, LLC New York 490 4,053 C
5 Goldman Sachs & Co. LLC New York 433 37 D
6 UBS Securities LLC New York 317 39 D
7 Deutsche Bank Securities Inc. New York 307 9 F
8 Oppenheimer & Co. Inc. New York 284 630 C
9 Morgan Stanley Purchase 183 3,805 B
10 Barclays Capital Inc. New York 164 19 D
11 Cibc World Markets Corp. New York 162 6 F
12 Jefferies LLC New York 137 42 D
13 SG Americas Securities, LLC New York 115 5 F
14 BNP Paribas Securities Corp. New York 101 9 D
15 Cantor Fitzgerald & Co. New York 97 37 D
16 HSBC Securities (USA) Inc. New York City 94 287 C
17 Nomura Securities International, Inc. New York 83 126 C
18 Instinet, LLC New York 81 11 F
19 Virtu Americas LLC New York 75 8 F
20 Bofa Securities, Inc. New York 74 126 C
21 Ladenburg Thalmann & Co. Inc. New York 50 7 D
22 Canaccord Genuity LLC New York 48 50 C
23 BMO Capital Markets Corp. New York 47 25 D
24 Aegis Capital Corp. New York 45 72 C
25 David Lerner Associates, Inc. Syosset 42 9 C
26 Marex Capital Markets Inc. New York 42 11 D
27 Equitable Advisors, LLC New York 37 2,311 B
28 Maxim Group LLC New York 37 7 F
29 BGC Financial, L.P. New York 36 13 D
30 Wall Street Access New York 34 9 C
31 TP Icap Global Markets Americas LLC New York 33 7 D
32 Tradition Securities and Derivatives LLC New York 32 7 D
33 Oscar Gruss & SON Incorporated New York 31 3 D
34 Daiwa Capital Markets America Inc. New York 30 29 D
35 GFI Securities LLC New York 30 11 C
36 Needham & Company, LLC New York 27 11 D
37 BNY Mellon Capital Markets, LLC New York 26 9 D
38 Neuberger Berman BD LLC New York 25 783 B
39 Park Avenue Securities LLC New York 23 1,317 B
40 Speedtrader, Inc Katonah 22 2 D
41 TD Securities (USA) LLC New York 22 19 D
42 Nylife Securities LLC New York 20 2,345 B
43 Clearpool Execution Services, LLC New York 19 4 C
44 THE Benchmark Company, LLC New York 19 6 C
45 Bluefin Capital Management, LLC New York 18 4 C
46 Credit Agricole Securities (USA) Inc. New York 18 6 D
47 Ingalls & Snyder, LLC New York 18 20 B
48 Joseph Gunnar & Co. LLC Uniondale 18 3 C
49 TWO Sigma Securities, LLC New York 18 25 B
50 Keefe, Bruyette & Woods, Inc. New York 17 17 C

Dense registered-firm inventory

New York in the denser-inventory third

New York ranks #1 of 56 by BrokerCheck firm count (868 firms) - denser third of the board.

New York sits in the denser third by registered-firm inventory (#1 of 56, 868 firms) as of July 2026. Graded inventory: 513 A / 248 B / 66 C / 34 D / 7 F (59.1% clean, 4.7% D or F). Heaviest raw book in-state: Citigroup Global Markets Inc. (1,233 disclosures across 2,867 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 York 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 York sit among states by BrokerCheck disclosure load?
New York is in the heavier third by aggregate disclosure load (#1 of 56, 7,592 events) while inventory ranks #1 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in New York?
New York registers 868 BrokerCheck firms (#1 denser-third inventory). 513 (59.1%) hold a clean Grade-A record.
Which New York broker-dealer has the most FINRA disclosures?
Citigroup Global Markets Inc. leads New York's listing with 1,233 BrokerCheck disclosures across 2,867 offices (Grade C). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read New York's safety grades?
On New York'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 York broker data?
Yes. New York'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 York 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 York. New York ranks #1 by firm inventory and #1 by disclosure load in the PlainAdvisorCheck extract as of July 2026.

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 FINRA BrokerCheck and SEC IAPD 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. Data current as of July 2026.