Branch offices
0 offices
FINRA: Small firm
CRD #31394 · FINRA BrokerCheck + SEC IAPD
BNP Paribas Brokerage Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BNP Paribas Brokerage Services, Inc. ranks #605 of 20,055 by disclosure count (most disclosures first). BNP Paribas Brokerage Services, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 11
- disclosures
- #605 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 31394 BNP Paribas Brokerage Services, Inc.
BNP Paribas Brokerage Services, Inc. · Grade D · 11 disc · 11.00/office · Single-office firm
- CRD 31394
- GRADE D
- DISC 11
- REG 11
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #605 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Asiel & Co. LLC (11.00 disc/office)
BNP Paribas Brokerage Services, Inc. ranks #605 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.00 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
11 events
On FINRA BrokerCheck
Regulatory events
11 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 11 |
Counts for BNP Paribas Brokerage Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 03/23/1992
- State of Formation
- Delaware
- CRD Number
- 31394
- SEC Number
- 44765
Regulator-heavy mix
BNP Paribas Brokerage Services, Inc. in the heavier-disclosure third
BNP Paribas Brokerage Services, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#605 of 20,055). Regulator-initiated events are 100% of the book (11 regulatory / 0 arbitration / 0 civil).
100% of BNP Paribas Brokerage Services, Inc.'s 11 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of BNP Paribas Brokerage Services, 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 BNP Paribas Brokerage Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BNP Paribas Brokerage Services, Inc. ranks #605 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 BNP Paribas Brokerage Services, Inc.?
A grade of D reflects BNP Paribas Brokerage Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 11 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does BNP Paribas Brokerage Services, Inc. have?
BNP Paribas Brokerage Services, Inc. has 11 total FINRA disclosures, including 11 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is BNP Paribas Brokerage Services, Inc.?
BNP Paribas Brokerage Services, 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 BNP Paribas Brokerage Services, Inc.'s disciplinary record?
You can verify BNP Paribas Brokerage Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 31394. 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). BNP Paribas Brokerage Services, Inc.'s 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid BNP Paribas Brokerage Services, 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. BNP Paribas Brokerage Services, Inc. carries 11 disclosures across 0 branch offices (about 11.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Asiel & Co. LLC - 11.00 disclosures/office, nearest single-office firm peer to BNP Paribas Brokerage Services, Inc.'s 11.00
- Auerbach, Pollak & Richardson Inc. - 11.00 disclosures/office, nearest single-office firm peer to BNP Paribas Brokerage Services, Inc.'s 11.00
- Bayou Securities, LLC - 11.00 disclosures/office, nearest single-office firm peer to BNP Paribas Brokerage Services, Inc.'s 11.00
- Red Flags in Advisor Records - How to read BNP Paribas Brokerage Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 11 disclosures behind BNP Paribas Brokerage Services, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as BNP Paribas Brokerage Services, Inc..
- Compare firms - put BNP Paribas Brokerage Services, 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.