Branch offices
2 offices
FINRA: Small firm
CRD #322170 · FINRA BrokerCheck + SEC IAPD
Ballast Rock Capital LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ballast Rock Capital LLC ranks #6,162 of 20,055 by disclosure count (most disclosures first). Among firms registered in SC, it ranks #6 of 15 on the same disclosure sort used on the state browse page. Ballast Rock Capital LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #6,162 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 322170 Ballast Rock Capital LLC
Ballast Rock Capital LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 322170
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #6,162 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Ballast Rock Capital LLC ranks #6,162 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
Ballast Rock Capital LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Charleston, SC
- CRD Number
- 322170
Clean BrokerCheck surface
Ballast Rock Capital LLC's clean BrokerCheck surface
Ballast Rock Capital LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Ballast Rock Capital LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Ballast Rock Capital LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
South Carolina cohort · 0.00× state average
Ballast Rock Capital LLC sits below the South Carolina disclosure average
Ballast Rock Capital LLC reports 0 BrokerCheck disclosures, 0.00× the South Carolina average of 19.7, lighter than most of the 15 graded firms filed there.
In South Carolina, 10 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the South Carolina state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Ballast Rock Capital LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ballast Rock Capital LLC ranks #6,162 of 20,055 by disclosure count (most disclosures first). Among firms registered in SC, it ranks #6 of 15 on the same disclosure sort used on the state browse page. 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 A mean for Ballast Rock Capital LLC?
A grade of A means Ballast Rock Capital LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Ballast Rock Capital LLC have?
Ballast Rock Capital LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ballast Rock Capital LLC?
Ballast Rock Capital LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in SC (Small 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 Ballast Rock Capital LLC's disciplinary record?
You can verify Ballast Rock Capital LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 322170. 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 BrokerCheck record. Ballast Rock Capital LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Ballast Rock Capital LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Ballast Rock Capital LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Ballast Rock Capital LLC's 0.00
- Firms in SC - state roster that includes Ballast Rock Capital LLC's registration home.
- How to Vet a Financial Advisor - Use Ballast Rock Capital LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Ballast Rock Capital LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Ballast Rock Capital LLC.
- Compare firms - put Ballast Rock Capital LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.