Pennsylvania

Broker-dealer firm disciplinary records from FINRA BrokerCheck

28
Total Firms
28
Active Firms
25
Total Advisors
113
Total Disclosures

Grade Distribution

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

Firms by Disclosure Count

Firm Disclosures Advisors Grade Status
SUSQUEHANNA SECURITIES, LLC 60 1 F Active
D & D SECURITIES, INC. 16 0 F Active
LINCOLN INVESTMENT 7 1 F Active
J.A.K. SECURITIES, INC. 5 0 F Active
FEDERATED SECURITIES CORP. 4 1 F Active
FORTUNE FINANCIAL SERVICES, INC. 4 1 F Active
J. ALDEN ASSOCIATES, INC. 4 1 F Active
CRESAP, INC. 3 1 F Active
DELAWARE DISTRIBUTORS, L.P. 3 1 F Active
LARGO TRADING, L.P. 2 0 F Active
REVL SECURITIES, LLC 2 1 F Active
FUND INVESTORS, INC. 1 1 F Active
NESTLERODE & LOY, INC. 1 1 F Active
QUOIN CAPITAL LLC 1 1 F Active
3ICO SECURITIES LLC 0 1 A Active
AGILE TRADING TECHNOLOGIES, LLC 0 1 A Active
BA SECURITIES, LLC 0 1 A Active
DSP SECURITIES, LLC 0 1 A Active
E. E. POWELL & COMPANY INC. 0 1 A Active
EQT PARTNERS BD, LLC 0 1 A Active
GRIFFIN FINANCIAL GROUP, LLC 0 1 A Active
INX SECURITIES, LLC 0 1 A Active
M&CO. SECURITIES LLC 0 1 A Active
MCG SECURITIES LLC 0 1 A Active
MUFSON HOWE HUNTER & PARTNERS LLC 0 1 A Active
NEST INVESTMENTS BD LLC 0 1 A Active
OPENCASH 0 1 A Active
PHOENIX IB 0 1 A Active

Inside Pennsylvania's Broker-Dealer Landscape

Pennsylvania is home to 28 broker-dealer firms in FINRA's public register, of which 28 (100.0%) are currently marked ACTIVE. Those firms employ 25 registered advisors across their home offices and branches — an average of 0.9 advisors per firm.

The state's aggregate disciplinary footprint totals 113 disclosures on BrokerCheck, averaging 4.0 per firm. Grade distribution across Pennsylvania's broker-dealers: 14 graded A, 0 graded B, 0 graded C, 0 graded D, and 14 graded F. That means 50.0% of graded firms hold an A and 50.0% 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 Pennsylvania 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 Pennsylvania advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.

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

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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