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.
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.