CRD #17790 · FINRA BrokerCheck + SEC IAPD

DB Alex. Brown LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DB Alex. Brown LLC ranks #152 of 20,055 by disclosure count (most disclosures first). DB Alex. Brown LLC carries 34 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
34
disclosures
#152 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 17790 DB Alex. Brown LLC

DB Alex. Brown LLC · Grade F · 34 disc · 34.00/office · Single-office firm

  • CRD 17790
  • GRADE F
  • DISC 34
  • REG 27
  • ARB 6
  • CIV 1
  • BRANCH 0
  • PER-OFF n/a
  • RANK #152 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Deutsche IXE, LLC (34.00 disc/office)

Deutsche IXE, LLC34.00Dominick & Dickerman LLC34.00First Allied Securities…34.00DB Alex. Brown LLC (this)34.00
Disclosures per office among single-office firm peers (lower is cleaner)

DB Alex. Brown LLC ranks #152 of 20,055 by disclosure count among graded broker-dealers; heavy load at 34.00 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

34 events

On FINRA BrokerCheck

Regulatory events

27 actions

79% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 27
Arbitrations 6
Civil Events 1
Total 34

Counts for DB Alex. Brown LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 27 Arbitration 6 Civil 1

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
12/03/1999
State of Formation
Delaware
CRD Number
17790
SEC Number
35766

Regulator-heavy mix

DB Alex. Brown LLC in the heavier-disclosure third

DB Alex. Brown LLC carries 34 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#152 of 20,055). Regulator-initiated events are 79% of the book (27 regulatory / 6 arbitration / 1 civil).

79% of DB Alex. Brown LLC's 34 disclosures are regulator-initiated (27 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of DB Alex. Brown LLC'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 DB Alex. Brown LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DB Alex. Brown LLC ranks #152 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 DB Alex. Brown LLC?
A grade of F reflects DB Alex. Brown LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 34 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does DB Alex. Brown LLC have?
DB Alex. Brown LLC has 34 total FINRA disclosures, including 27 regulatory events, 6 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is DB Alex. Brown LLC?
DB Alex. Brown LLC 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 DB Alex. Brown LLC's disciplinary record?
You can verify DB Alex. Brown LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17790. 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). DB Alex. Brown LLC's 34 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid DB Alex. Brown LLC 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. DB Alex. Brown LLC carries 34 disclosures across 0 branch offices (about 34.00 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.