Branch offices
0 offices
FINRA: Small firm
CRD #13366 · FINRA BrokerCheck + SEC IAPD
Brookstone Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Brookstone Securities, Inc. ranks #403 of 20,055 by disclosure count (most disclosures first). Brookstone Securities, Inc. carries 16 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 16
- disclosures
- #403 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13366 Brookstone Securities, Inc.
Brookstone Securities, Inc. · Grade D · 16 disc · 16.00/office · Single-office firm
- CRD 13366
- GRADE D
- DISC 16
- REG 10
- ARB 6
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #403 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Bishop, Rosen & Co., Inc. (16.00 disc/office)
Brookstone Securities, Inc. ranks #403 of 20,055 by disclosure count among graded broker-dealers; heavy load at 16.00 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
16 events
On FINRA BrokerCheck
Regulatory events
10 actions
63% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 10 |
| Arbitrations | 6 |
| Civil Events | 0 |
| Total | 16 |
Counts for Brookstone Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 10 Arbitration 6 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 13366
Heavy disclosure book
Brookstone Securities, Inc. in the heavier-disclosure third
Brookstone Securities, Inc. carries 16 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#403 of 20,055). Regulator-initiated events are 63% of the book (10 regulatory / 6 arbitration / 0 civil).
Brookstone Securities, Inc. ranks #403 of 20,055 by BrokerCheck disclosure count among graded firms (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Brookstone 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 Brookstone Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Brookstone Securities, Inc. ranks #403 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 Brookstone Securities, Inc.?
A grade of D reflects Brookstone 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 16 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Brookstone Securities, Inc. have?
Brookstone Securities, Inc. has 16 total FINRA disclosures, including 10 regulatory events, 6 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Brookstone Securities, Inc.?
Brookstone 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 Brookstone Securities, Inc.'s disciplinary record?
You can verify Brookstone Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13366. 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). Brookstone Securities, Inc.'s 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Brookstone 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. Brookstone Securities, Inc. carries 16 disclosures across 0 branch offices (about 16.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Bishop, Rosen & Co., Inc. - 16.00 disclosures/office, nearest single-office firm peer to Brookstone Securities, Inc.'s 16.00
- Brookville Capital Partners - 16.00 disclosures/office, nearest single-office firm peer to Brookstone Securities, Inc.'s 16.00
- Cantone Research Inc. - 16.00 disclosures/office, nearest single-office firm peer to Brookstone Securities, Inc.'s 16.00
- Red Flags in Advisor Records - How to read Brookstone Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 16 disclosures behind Brookstone Securities, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Brookstone Securities, Inc..
- Compare firms - put Brookstone 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.