CRD #114670 · FINRA BrokerCheck + SEC IAPD

CIS Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, CIS Securities, Inc. ranks #371 of 20,055 by disclosure count (most disclosures first). CIS Securities, Inc. carries 17 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
17
disclosures
#371 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 114670 CIS Securities, Inc.

CIS Securities, Inc. · Grade F · 17 disc · 17.00/office · Single-office firm

  • CRD 114670
  • GRADE F
  • DISC 17
  • REG 17
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #371 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: A.B. Watley Direct, Inc. (17.00 disc/office)

A.B. Watley Direct, Inc.17.00Branch, Cabell & Co., Inc.17.00Cargill Investor Servic…17.00CIS Securities, Inc. (this)17.00
Disclosures per office among single-office firm peers (lower is cleaner)

CIS Securities, Inc. ranks #371 of 20,055 by disclosure count among graded broker-dealers; heavy load at 17.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

0 offices

FINRA: Small firm

Total disclosures

17 events

On FINRA BrokerCheck

Regulatory events

17 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 17
Arbitrations 0
Civil Events 0
Total 17

Counts for CIS Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 17 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
03/28/2001
State of Formation
Delaware
CRD Number
114670
SEC Number
53443

Regulator-heavy mix

CIS Securities, Inc. in the heavier-disclosure third

CIS Securities, Inc. carries 17 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#371 of 20,055). Regulator-initiated events are 100% of the book (17 regulatory / 0 arbitration / 0 civil).

100% of CIS Securities, Inc.'s 17 disclosures are regulator-initiated (17 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of CIS 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 CIS Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, CIS Securities, Inc. ranks #371 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 F mean for CIS Securities, Inc.?
A grade of F reflects CIS 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 17 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does CIS Securities, Inc. have?
CIS Securities, Inc. has 17 total FINRA disclosures, including 17 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is CIS Securities, Inc.?
CIS 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 CIS Securities, Inc.'s disciplinary record?
You can verify CIS Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 114670. 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). CIS Securities, Inc.'s 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid CIS 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. CIS Securities, Inc. carries 17 disclosures across 0 branch offices (about 17.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.

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.