Branch offices
0 offices
FINRA: Small firm
CRD #25056 · FINRA BrokerCheck + SEC IAPD
Carlson National Brokers, Ltd
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carlson National Brokers, Ltd ranks #1,643 of 20,055 by disclosure count (most disclosures first). Carlson National Brokers, Ltd carries 4 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 4
- disclosures
- #1,643 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 25056 Carlson National Brokers, Ltd
Carlson National Brokers, Ltd · Grade C · 4 disc · 4.00/office · Single-office firm
- CRD 25056
- GRADE C
- DISC 4
- REG 3
- ARB 0
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #1,643 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1792 Securities, LLC (4.00 disc/office)
Carlson National Brokers, Ltd ranks #1,643 of 20,055 by disclosure count among graded broker-dealers; heavy load at 4.00 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
Total disclosures
4 events
On FINRA BrokerCheck
Regulatory events
3 actions
75% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 3 |
| Arbitrations | 0 |
| Civil Events | 1 |
| Total | 4 |
Counts for Carlson National Brokers, Ltd reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 3 Arbitration 0 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 25056
Regulator-heavy mix
Carlson National Brokers, Ltd in the heavier-disclosure third
Carlson National Brokers, Ltd carries 4 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,643 of 20,055). Regulator-initiated events are 75% of the book (3 regulatory / 0 arbitration / 1 civil).
75% of Carlson National Brokers, Ltd's 4 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Carlson National Brokers, Ltd'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 Carlson National Brokers, Ltd sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carlson National Brokers, Ltd ranks #1,643 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 C mean for Carlson National Brokers, Ltd?
A grade of C reflects Carlson National Brokers, Ltd's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 4 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Carlson National Brokers, Ltd have?
Carlson National Brokers, Ltd has 4 total FINRA disclosures, including 3 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Carlson National Brokers, Ltd?
Carlson National Brokers, Ltd 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 Carlson National Brokers, Ltd's disciplinary record?
You can verify Carlson National Brokers, Ltd's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 25056. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Carlson National Brokers, Ltd 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. Carlson National Brokers, Ltd carries 4 disclosures across 0 branch offices (about 4.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1792 Securities, LLC - 4.00 disclosures/office, nearest single-office firm peer to Carlson National Brokers, Ltd's 4.00
- 1ST Global Capital Corp. - 4.00 disclosures/office, nearest single-office firm peer to Carlson National Brokers, Ltd's 4.00
- A. CH. Securities, Inc. - 4.00 disclosures/office, nearest single-office firm peer to Carlson National Brokers, Ltd's 4.00
- Red Flags in Advisor Records - How to read Carlson National Brokers, Ltd's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 4 disclosures behind Carlson National Brokers, Ltd's Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Carlson National Brokers, Ltd.
- Compare firms - put Carlson National Brokers, Ltd 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.