CRD #1331 · FINRA BrokerCheck + SEC IAPD

Brown, Lisle/Cummings, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Brown, Lisle/Cummings, Inc. ranks #965 of 20,055 by disclosure count (most disclosures first). Among firms registered in RI, it ranks #5 of 7 on the same disclosure sort used on the state browse page. Brown, Lisle/Cummings, Inc. carries 7 BrokerCheck disclosures across 3 branch offices - elevated load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
7
disclosures
#965 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1331 Brown, Lisle/Cummings, Inc.

Brown, Lisle/Cummings, Inc. · Grade C · 7 disc · 2.33/office · Small firm

  • CRD 1331
  • GRADE C
  • DISC 7
  • REG 7
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 2.33
  • RANK #965 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: First Dallas Securities Incorporated (2.33 disc/office)

First Dallas Securities…2.33Fred Alger & Company, LLC2.33Global Financial Servic…2.33Brown, Lisle/Cummin… (this)2.33
Disclosures per office among small firm peers (lower is cleaner)

Brown, Lisle/Cummings, Inc. ranks #965 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.33 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

Branch offices

3 offices

FINRA: Small firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

7 actions

100% of all disclosures

Disclosures per office

2.33 per office

7 ÷ 3 offices

Brown, Lisle/Cummings, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 9% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). This entry sits in this band. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 7
Arbitrations 0
Civil Events 0
Total 7

Counts for Brown, Lisle/Cummings, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 7 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Providence, RI
CRD Number
1331

Regulator-heavy mix

Brown, Lisle/Cummings, Inc. in the heavier-disclosure third

Brown, Lisle/Cummings, Inc. carries 7 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#965 of 20,055). Regulator-initiated events are 100% of the book (7 regulatory / 0 arbitration / 0 civil).

100% of Brown, Lisle/Cummings, Inc.'s 7 disclosures are regulator-initiated (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Brown, Lisle/Cummings, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Rhode Island cohort · 0.22× state average

Brown, Lisle/Cummings, Inc. sits below the Rhode Island disclosure average

Brown, Lisle/Cummings, Inc. reports 7 BrokerCheck disclosures, 0.22× the Rhode Island average of 31.3, lighter than most of the 7 graded firms filed there.

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 Brown, Lisle/Cummings, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Brown, Lisle/Cummings, Inc. ranks #965 of 20,055 by disclosure count (most disclosures first). Among firms registered in RI, it ranks #5 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 C mean for Brown, Lisle/Cummings, Inc.?
A grade of C reflects Brown, Lisle/Cummings, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 7 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Brown, Lisle/Cummings, Inc. have?
Brown, Lisle/Cummings, Inc. has 7 total FINRA disclosures, including 7 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Brown, Lisle/Cummings, Inc.?
Brown, Lisle/Cummings, Inc. 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 Brown, Lisle/Cummings, Inc.'s disciplinary record?
You can verify Brown, Lisle/Cummings, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1331. 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). Brown, Lisle/Cummings, Inc.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Brown, Lisle/Cummings, 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. Brown, Lisle/Cummings, Inc. carries 7 disclosures across 3 branch offices (about 2.33 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 Brown, Lisle/Cummings, Inc., both outside RI so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.