Branch offices
1 office
FINRA: Small firm
CRD #316281 · FINRA BrokerCheck + SEC IAPD
Fennel
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fennel ranks #9,775 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #530 of 868 on the same disclosure sort used on the state browse page. Fennel has a clean FINRA BrokerCheck record, no reportable disclosures across its 1 branch office, earning a Grade A.
- Grade A
- Safety grade
- 1
- branch office
- 0
- disclosures
- #9,775 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 316281 Fennel
Fennel · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 316281
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 1
- PER-OFF 0.00
- RANK #9,775 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Fennel ranks #9,775 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
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 1 offices
Clean disclosure surface
Fennel has zero reportable FINRA BrokerCheck disclosures in this extract across 1 branch office (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY, 10017
- Formed
- 07/02/2021
- State of Formation
- Delaware
- CRD Number
- 316281
- SEC Number
- 70779
Clean BrokerCheck surface
Fennel's clean BrokerCheck surface
Fennel shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 1 branch office (Grade A).
Fennel shows zero reportable disclosures across 1 branch office in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Fennel's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
New York cohort · 0.00× state average
Fennel sits below the New York disclosure average
Fennel 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 Fennel sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fennel ranks #9,775 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #530 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 Fennel?
A grade of A means Fennel 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 Fennel have?
Fennel has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Fennel?
Fennel operates 1 branch office and is classified by FINRA as a small firm, registered in NY (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 Fennel's disciplinary record?
You can verify Fennel's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 316281. 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. Fennel currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Fennel's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Fennel's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Fennel's 0.00
- Firms in NY - state roster that includes Fennel's registration home.
- How to Vet a Financial Advisor - Use Fennel's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Fennel's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Fennel.
- Compare firms - put Fennel 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.