CRD #265 · FINRA BrokerCheck + SEC IAPD

Equity Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Equity Services, Inc. ranks #670 of 20,055 by disclosure count (most disclosures first). Among firms registered in VT, it ranks #1 of 3 on the same disclosure sort used on the state browse page. Equity Services, Inc. carries 10 BrokerCheck disclosures across 344 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
344
branch offices
10
disclosures
#670 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 265 Equity Services, Inc.

Equity Services, Inc. · Grade B · 10 disc · 0.03/office · Large firm

  • CRD 265
  • GRADE B
  • DISC 10
  • REG 8
  • ARB 2
  • CIV 0
  • BRANCH 344
  • PER-OFF 0.03
  • RANK #670 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Money Concepts Capital Corp (0.03 disc/office)

Money Concepts Capital …0.03USA Financial Securitie…0.03Oneamerica Securities, …0.03Equity Services, Inc. (this)0.03
Disclosures per office among large firm peers (lower is cleaner)

Equity Services, Inc. ranks #670 of 20,055 by disclosure count among graded broker-dealers; light load at 0.03 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

344 offices

FINRA: Large firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

8 actions

80% of all disclosures

Disclosures per office

0.03 per office

10 ÷ 344 offices

Equity Services, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 94% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 8
Arbitrations 2
Civil Events 0
Total 10

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

Disclosure category share

Regulatory 8 Arbitration 2 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Montpelier, VT
CRD Number
265

Lower disclosures per office

Equity Services, Inc. in the heavier-disclosure third

Equity Services, Inc. carries 10 BrokerCheck disclosures across 344 branch offices - a heavier-third raw book among graded firms (#670 of 20,055). Regulator-initiated events are 80% of the book (8 regulatory / 2 arbitration / 0 civil).

Equity Services, Inc. runs 0.03 disclosures per branch office (cleaner than 94% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Equity Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Vermont cohort · 2.73× state average

Equity Services, Inc. sits above the Vermont disclosure average

Equity Services, Inc. reports 10 BrokerCheck disclosures, 2.73× the Vermont average of 3.7 across 3 graded firms with a principal-office state on file.

In Vermont, 1 firm carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Vermont state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Equity Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Equity Services, Inc. ranks #670 of 20,055 by disclosure count (most disclosures first). Among firms registered in VT, it ranks #1 of 3 on the same disclosure sort used on the state browse page. 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 B mean for Equity Services, Inc.?
A grade of B reflects Equity Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 10 total disclosures across 344 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Equity Services, Inc. have?
Equity Services, Inc. has 10 total FINRA disclosures, including 8 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Equity Services, Inc.?
Equity Services, Inc. operates 344 branch offices and is classified by FINRA as a large firm, registered in VT (Large 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 Equity Services, Inc.'s disciplinary record?
You can verify Equity Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 265. 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). Equity Services, Inc.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Equity Services, 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. Equity Services, Inc. carries 10 disclosures across 344 branch offices (about 0.03 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Equity Services, Inc., both outside VT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.