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.

Compiled by PlainAdvisorCheck

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

New York at a glance

#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

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.

Large 46 firms (5%) Medium 52 firms (6%) Small 770 firms (89%)

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.

Grade breakdown of 868 graded firms headquartered in New York

Firms by Disclosure Count

#	Firm	Disclosures	Offices	Grade
1	Citigroup Global Markets Inc.New York	1,233	2,867	C
2	Morgan Stanley & Co. LLCNew York	552	44	F
3	J.P. Morgan Securities LLCNew York	547	6,951	B
4	RBC Capital Markets, LLCNew York	490	4,053	C
5	Goldman Sachs & Co. LLCNew York	433	37	D
6	UBS Securities LLCNew 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 StanleyPurchase	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 LLCNew York	137	42	D
13	SG Americas Securities, LLCNew 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, LLCNew York	81	11	F
19	Virtu Americas LLCNew 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 LLCNew 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, LLCNew York	37	2,311	B
28	Maxim Group LLCNew York	37	7	F
29	BGC Financial, L.P.New York	36	13	D
30	Wall Street AccessNew York	34	9	C
31	TP Icap Global Markets Americas LLCNew York	33	7	D
32	Tradition Securities and Derivatives LLCNew York	32	7	D
33	Oscar Gruss & SON IncorporatedNew York	31	3	D
34	Daiwa Capital Markets America Inc.New York	30	29	D
35	GFI Securities LLCNew York	30	11	C
36	Needham & Company, LLCNew York	27	11	D
37	BNY Mellon Capital Markets, LLCNew York	26	9	D
38	Neuberger Berman BD LLCNew York	25	783	B
39	Park Avenue Securities LLCNew York	23	1,317	B
40	Speedtrader, IncKatonah	22	2	D
41	TD Securities (USA) LLCNew York	22	19	D
42	Nylife Securities LLCNew York	20	2,345	B
43	Clearpool Execution Services, LLCNew York	19	4	C
44	THE Benchmark Company, LLCNew York	19	6	C
45	Bluefin Capital Management, LLCNew York	18	4	C
46	Credit Agricole Securities (USA) Inc.New York	18	6	D
47	Ingalls & Snyder, LLCNew York	18	20	B
48	Joseph Gunnar & Co. LLCUniondale	18	3	C
49	TWO Sigma Securities, LLCNew 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.

Compiled by PlainAdvisorCheck, Independent data publisher