Branch offices
0 offices
FINRA: Small firm
CRD #31231 · FINRA BrokerCheck + SEC IAPD
Adam Smith & Company, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Adam Smith & Company, Inc. ranks #3,354 of 20,055 by disclosure count (most disclosures first). Adam Smith & Company, Inc. carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 1
- disclosure
- #3,354 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 31231 Adam Smith & Company, Inc.
Adam Smith & Company, Inc. · Grade B · 1 disc · 1.00/office · Single-office firm
- CRD 31231
- GRADE B
- DISC 1
- REG 1
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #3,354 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)
Adam Smith & Company, Inc. ranks #3,354 of 20,055 by disclosure count among graded broker-dealers; heavy load at 1.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
1 event
On FINRA BrokerCheck
Regulatory events
1 action
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 1 |
Counts for Adam Smith & Company, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 31231
Regulator-heavy mix
Adam Smith & Company, Inc. in the heavier-disclosure third
Adam Smith & Company, Inc. carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#3,354 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).
100% of Adam Smith & Company, Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Adam Smith & Company, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Adam Smith & Company, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Adam Smith & Company, Inc. ranks #3,354 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Adam Smith & Company, Inc.?
A grade of B reflects Adam Smith & Company, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Adam Smith & Company, Inc. have?
Adam Smith & Company, Inc. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Adam Smith & Company, Inc.?
Adam Smith & Company, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Adam Smith & Company, Inc.'s disciplinary record?
You can verify Adam Smith & Company, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 31231. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Adam Smith & Company, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Adam Smith & Company, Inc. carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to Adam Smith & Company, Inc.'s 1.00
- 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to Adam Smith & Company, Inc.'s 1.00
- 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to Adam Smith & Company, Inc.'s 1.00
- Red Flags in Advisor Records - How to read Adam Smith & Company, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 1 disclosure behind Adam Smith & Company, Inc.'s Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Adam Smith & Company, Inc..
- Compare firms - put Adam Smith & Company, Inc. next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
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.