Branch offices
3 offices
FINRA: Small firm
CRD #1175 · FINRA BrokerCheck + SEC IAPD
Barrett & Company
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Barrett & Company ranks #368 of 20,055 by disclosure count (most disclosures first). Among firms registered in RI, it ranks #4 of 7 on the same disclosure sort used on the state browse page. Barrett & Company carries 17 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 3
- branch offices
- 17
- disclosures
- #368 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 1175 Barrett & Company
Barrett & Company · Grade D · 17 disc · 5.67/office · Small firm
- CRD 1175
- GRADE D
- DISC 17
- REG 14
- ARB 3
- CIV 0
- BRANCH 3
- PER-OFF 5.67
- RANK #368 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Smith, Brown & Groover, Inc. (5.67 disc/office)
Barrett & Company ranks #368 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.67 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
17 events
On FINRA BrokerCheck
Regulatory events
14 actions
82% of all disclosures
Disclosures per office
5.67 per office
17 ÷ 3 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Barrett & Company - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 14 |
| Arbitrations | 3 |
| Civil Events | 0 |
| Total | 17 |
Counts for Barrett & Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 14 Arbitration 3 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Providence, RI
- CRD Number
- 1175
Regulator-heavy mix
Barrett & Company in the heavier-disclosure third
Barrett & Company carries 17 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#368 of 20,055). Regulator-initiated events are 82% of the book (14 regulatory / 3 arbitration / 0 civil).
82% of Barrett & Company's 17 disclosures are regulator-initiated (14 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Barrett & Company's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Rhode Island cohort · 0.54× state average
Barrett & Company tracks near the Rhode Island disclosure average
Barrett & Company reports 17 BrokerCheck disclosures, about 0.54× the Rhode Island average of 31.3 across 7 graded firms.
In Rhode Island, 1 firm 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 Rhode Island state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Barrett & Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Barrett & Company ranks #368 of 20,055 by disclosure count (most disclosures first). Among firms registered in RI, it ranks #4 of 7 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 D mean for Barrett & Company?
A grade of D reflects Barrett & Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 17 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Barrett & Company have?
Barrett & Company has 17 total FINRA disclosures, including 14 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Barrett & Company?
Barrett & Company operates 3 branch offices and is classified by FINRA as a small firm, registered in RI (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 Barrett & Company's disciplinary record?
You can verify Barrett & Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1175. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Barrett & Company's 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Barrett & Company 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. Barrett & Company carries 17 disclosures across 3 branch offices (about 5.67 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Barrett & Company, both outside RI so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (17 here).
Read with this firm
- Smith, Brown & Groover, Inc. (GA) - 5.67 disclosures/office, nearest small firm peer to Barrett & Company's 5.67
- Colonial Securities, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Barrett & Company's 5.67
- Liquidnet, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Barrett & Company's 5.67
- Firms in RI - state roster that includes Barrett & Company's registration home.
- Red Flags in Advisor Records - How to read Barrett & Company's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 17 disclosures behind Barrett & Company's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Barrett & Company.
- Compare firms - put Barrett & Company 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.