CRD #139176 · FINRA BrokerCheck + SEC IAPD

ESL Investment Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, ESL Investment Services, LLC ranks #9,537 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #521 of 868 on the same disclosure sort used on the state browse page. ESL Investment Services, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 27 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
27
branch offices
0
disclosures
#9,537 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 139176 ESL Investment Services, LLC

ESL Investment Services, LLC · Grade A · 0 disc · 0.00/office · Mid-sized firm

  • CRD 139176
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 27
  • PER-OFF 0.00
  • RANK #9,537 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: ABD Retirement Services, Inc. (0.00 disc/office)

ABD Retirement Services…0.00Advanced Advisor Group,…0.00Aurora Securities0.00ESL Investment Serv… (this)0.00
Disclosures per office among mid-sized firm peers (lower is cleaner)

ESL Investment Services, LLC ranks #9,537 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 5/5 - 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

27 offices

FINRA: Small firm

Total disclosures

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

0.00 per office

0 ÷ 27 offices

Clean disclosure surface

ESL Investment Services, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 27 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Rochester, NY
CRD Number
139176

Clean BrokerCheck surface

ESL Investment Services, LLC's clean BrokerCheck surface

ESL Investment Services, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 27 branch offices (Grade A).

ESL Investment Services, LLC shows zero reportable disclosures across 27 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of ESL Investment Services, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

New York cohort · 0.00× state average

ESL Investment Services, LLC sits below the New York disclosure average

ESL Investment Services, LLC reports 0 BrokerCheck disclosures, 0.00× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does ESL Investment Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, ESL Investment Services, LLC ranks #9,537 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #521 of 868 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 A mean for ESL Investment Services, LLC?
A grade of A means ESL Investment Services, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does ESL Investment Services, LLC have?
ESL Investment Services, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is ESL Investment Services, LLC?
ESL Investment Services, LLC operates 27 branch offices and is classified by FINRA as a small firm, registered in NY (Mid-sized 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 ESL Investment Services, LLC's disciplinary record?
You can verify ESL Investment Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 139176. 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 BrokerCheck record. ESL Investment Services, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Nationwide peers by disclosures or branches

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

Read with this firm

  • ABD Retirement Services, Inc. - 0.00 disclosures/office, nearest mid-sized firm peer to ESL Investment Services, LLC's 0.00
  • Advanced Advisor Group, LLC (MN) - 0.00 disclosures/office, nearest mid-sized firm peer to ESL Investment Services, LLC's 0.00
  • Aurora Securities (MI) - 0.00 disclosures/office, nearest mid-sized firm peer to ESL Investment Services, LLC's 0.00
  • Firms in NY - state roster that includes ESL Investment Services, LLC's registration home.
  • How to Vet a Financial Advisor - Use ESL Investment Services, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
  • Reading BrokerCheck Reports - What a Grade A page like ESL Investment Services, LLC's does and does not prove.
  • Clean-Record Firms - Other Grade-A firms ranked by footprint alongside ESL Investment Services, LLC.
  • Compare firms - put ESL Investment Services, LLC next to peers on grade and footprint.

Read our methodology - clean-record firms: what a Grade A surface does and does not prove.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.