CRD #14048 · FINRA BrokerCheck + SEC IAPD

Continental Broker-Dealer Corp.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Continental Broker-Dealer Corp. ranks #216 of 20,055 by disclosure count (most disclosures first). Continental Broker-Dealer Corp. carries 27 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
27
disclosures
#216 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 14048 Continental Broker-Dealer Corp.

Continental Broker-Dealer Corp. · Grade F · 27 disc · 27.00/office · Single-office firm

  • CRD 14048
  • GRADE F
  • DISC 27
  • REG 12
  • ARB 15
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #216 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Black & Company, Inc. (27.00 disc/office)

Black & Company, Inc.27.00J. P. Gibbons & Co., Inc.27.00Miller Johnson Steichen…27.00Continental Broker-… (this)27.00
Disclosures per office among single-office firm peers (lower is cleaner)

Continental Broker-Dealer Corp. ranks #216 of 20,055 by disclosure count among graded broker-dealers; heavy load at 27.00 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

27 events

On FINRA BrokerCheck

Regulatory events

12 actions

44% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 12
Arbitrations 15
Civil Events 0
Total 27

Counts for Continental Broker-Dealer Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 12 Arbitration 15 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
14048

Heavy disclosure book

Continental Broker-Dealer Corp. in the heavier-disclosure third

Continental Broker-Dealer Corp. carries 27 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#216 of 20,055). Mix is 12 regulatory, 15 arbitration, and 0 civil (44% regulator share).

Continental Broker-Dealer Corp. ranks #216 of 20,055 by BrokerCheck disclosure count among graded firms (27 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Continental Broker-Dealer Corp.'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 Continental Broker-Dealer Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Continental Broker-Dealer Corp. ranks #216 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 Continental Broker-Dealer Corp.?
A grade of F reflects Continental Broker-Dealer Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 27 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Continental Broker-Dealer Corp. have?
Continental Broker-Dealer Corp. has 27 total FINRA disclosures, including 12 regulatory events, 15 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Continental Broker-Dealer Corp.?
Continental Broker-Dealer Corp. 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 Continental Broker-Dealer Corp.'s disciplinary record?
You can verify Continental Broker-Dealer Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14048. 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). Continental Broker-Dealer Corp.'s 27 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Continental Broker-Dealer Corp. 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. Continental Broker-Dealer Corp. carries 27 disclosures across 0 branch offices (about 27.00 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.