Branch offices
0 offices
FINRA: Small firm
CRD #101220 · FINRA BrokerCheck + SEC IAPD
Energy Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Energy Securities, Inc. ranks #2,100 of 20,055 by disclosure count (most disclosures first). Energy Securities, Inc. carries 3 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 3
- disclosures
- #2,100 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 101220 Energy Securities, Inc.
Energy Securities, Inc. · Grade C · 3 disc · 3.00/office · Single-office firm
- CRD 101220
- GRADE C
- DISC 3
- REG 2
- ARB 0
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #2,100 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: A. B. Culbertson and Company (3.00 disc/office)
Energy Securities, Inc. ranks #2,100 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 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
3 events
On FINRA BrokerCheck
Regulatory events
2 actions
67% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 2 |
| Arbitrations | 0 |
| Civil Events | 1 |
| Total | 3 |
Counts for Energy Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 2 Arbitration 0 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 101220
Heavy disclosure book
Energy Securities, Inc. in the heavier-disclosure third
Energy Securities, Inc. carries 3 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#2,100 of 20,055). Regulator-initiated events are 67% of the book (2 regulatory / 0 arbitration / 1 civil).
Energy Securities, Inc. ranks #2,100 of 20,055 by BrokerCheck disclosure count among graded firms (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Energy 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 Energy Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Energy Securities, Inc. ranks #2,100 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 Energy Securities, Inc.?
A grade of C reflects Energy 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 3 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Energy Securities, Inc. have?
Energy Securities, Inc. has 3 total FINRA disclosures, including 2 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Energy Securities, Inc.?
Energy 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 Energy Securities, Inc.'s disciplinary record?
You can verify Energy Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 101220. 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 Energy 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. Energy Securities, Inc. carries 3 disclosures across 0 branch offices (about 3.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- A. B. Culbertson and Company - 3.00 disclosures/office, nearest single-office firm peer to Energy Securities, Inc.'s 3.00
- A. Gary Shilling & Co., Inc. - 3.00 disclosures/office, nearest single-office firm peer to Energy Securities, Inc.'s 3.00
- Abner Herrman & Brock, LLC - 3.00 disclosures/office, nearest single-office firm peer to Energy Securities, Inc.'s 3.00
- Red Flags in Advisor Records - How to read Energy Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 3 disclosures behind Energy Securities, Inc.'s Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Energy Securities, Inc..
- Compare firms - put Energy Securities, Inc. 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.