CRD #6905 · FINRA BrokerCheck + SEC IAPD

Feltl & Company

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Feltl & Company ranks #516 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #6 of 42 on the same disclosure sort used on the state browse page. Feltl & Company carries 13 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
13
disclosures
#516 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6905 Feltl & Company

Feltl & Company · Grade C · 13 disc · 4.33/office · Small firm

  • CRD 6905
  • GRADE C
  • DISC 13
  • REG 11
  • ARB 2
  • CIV 0
  • BRANCH 3
  • PER-OFF 4.33
  • RANK #516 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: SRT Securities LLC (4.33 disc/office)

SRT Securities LLC4.33Revere Securities LLC4.25Sanders Morris LLC4.20Feltl & Company (this)4.33
Disclosures per office among small firm peers (lower is cleaner)

Feltl & Company ranks #516 of 20,055 by disclosure count among graded broker-dealers; heavy load at 4.33 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

Branch offices

3 offices

FINRA: Small firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

11 actions

85% of all disclosures

Disclosures per office

4.33 per office

13 ÷ 3 offices

Feltl & Company vs. every disclosing firm

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

4 a cleaner per-office record than 1% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). Below this entry. 4–4: 3 disclosing firms (0%). Below this entry. 4–4: 9 disclosing firms (1%). Below this entry. 4–5: 3 disclosing firms (0%). This entry sits in this band. 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 11
Arbitrations 2
Civil Events 0
Total 13

Counts for Feltl & Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 11 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Plymouth, MN
CRD Number
6905

Elevated disclosures per office

Feltl & Company in the heavier-disclosure third

Feltl & Company carries 13 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#516 of 20,055). Regulator-initiated events are 85% of the book (11 regulatory / 2 arbitration / 0 civil).

Feltl & Company runs 4.33 disclosures per branch office (cleaner than only 99% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Minnesota cohort · 0.99× state average

Feltl & Company tracks near the Minnesota disclosure average

Feltl & Company reports 13 BrokerCheck disclosures, about 0.99× the Minnesota average of 13.1 across 42 graded firms.

In Minnesota, 18 firms carry Grade A and 1 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 Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Feltl & Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Feltl & Company ranks #516 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #6 of 42 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 C mean for Feltl & Company?
A grade of C reflects Feltl & Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 13 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Feltl & Company have?
Feltl & Company has 13 total FINRA disclosures, including 11 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Feltl & Company?
Feltl & Company operates 3 branch offices and is classified by FINRA as a small firm, registered in MN (Small 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 Feltl & Company's disciplinary record?
You can verify Feltl & Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6905. 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). Feltl & Company's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Feltl & Company 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. Feltl & Company carries 13 disclosures across 3 branch offices (about 4.33 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 Feltl & Company, both outside MN 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.