Branch offices
0 offices
FINRA: Small firm
CRD #11490 · FINRA BrokerCheck + SEC IAPD
Birkelbach Investment Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Birkelbach Investment Securities, Inc. ranks #468 of 20,055 by disclosure count (most disclosures first). Birkelbach Investment Securities, Inc. carries 14 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 14
- disclosures
- #468 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 11490 Birkelbach Investment Securities, Inc.
Birkelbach Investment Securities, Inc. · Grade D · 14 disc · 14.00/office · Single-office firm
- CRD 11490
- GRADE D
- DISC 14
- REG 11
- ARB 3
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #468 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Advantage Capital Corporation (14.00 disc/office)
Birkelbach Investment Securities, Inc. ranks #468 of 20,055 by disclosure count among graded broker-dealers; heavy load at 14.00 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
14 events
On FINRA BrokerCheck
Regulatory events
11 actions
79% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 3 |
| Civil Events | 0 |
| Total | 14 |
Counts for Birkelbach Investment Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 3 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 11490
Regulator-heavy mix
Birkelbach Investment Securities, Inc. in the heavier-disclosure third
Birkelbach Investment Securities, Inc. carries 14 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#468 of 20,055). Regulator-initiated events are 79% of the book (11 regulatory / 3 arbitration / 0 civil).
79% of Birkelbach Investment Securities, Inc.'s 14 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Birkelbach Investment Securities, 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 Birkelbach Investment Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Birkelbach Investment Securities, Inc. ranks #468 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 D mean for Birkelbach Investment Securities, Inc.?
A grade of D reflects Birkelbach Investment Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 14 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Birkelbach Investment Securities, Inc. have?
Birkelbach Investment Securities, Inc. has 14 total FINRA disclosures, including 11 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Birkelbach Investment Securities, Inc.?
Birkelbach Investment Securities, 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 Birkelbach Investment Securities, Inc.'s disciplinary record?
You can verify Birkelbach Investment Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 11490. 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). Birkelbach Investment Securities, Inc.'s 14 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Birkelbach Investment Securities, 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. Birkelbach Investment Securities, Inc. carries 14 disclosures across 0 branch offices (about 14.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Advantage Capital Corporation - 14.00 disclosures/office, nearest single-office firm peer to Birkelbach Investment Securities, Inc.'s 14.00
- Aura Financial Services, Inc. - 14.00 disclosures/office, nearest single-office firm peer to Birkelbach Investment Securities, Inc.'s 14.00
- Avalon Investment & Securities Group, Inc. - 14.00 disclosures/office, nearest single-office firm peer to Birkelbach Investment Securities, Inc.'s 14.00
- Red Flags in Advisor Records - How to read Birkelbach Investment Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 14 disclosures behind Birkelbach Investment Securities, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Birkelbach Investment Securities, Inc..
- Compare firms - put Birkelbach Investment Securities, 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.