CRD #35699 · FINRA BrokerCheck + SEC IAPD

Global Financial Services, L.L.C.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Global Financial Services, L.L.C. ranks #1,000 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #15 of 189 on the same disclosure sort used on the state browse page. Global Financial Services, L.L.C. carries 7 BrokerCheck disclosures across 3 branch offices - elevated load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
7
disclosures
#1,000 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 35699 Global Financial Services, L.L.C.

Global Financial Services, L.L.C. · Grade C · 7 disc · 2.33/office · Small firm

  • CRD 35699
  • GRADE C
  • DISC 7
  • REG 6
  • ARB 1
  • CIV 0
  • BRANCH 3
  • PER-OFF 2.33
  • RANK #1,000 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Brown, Lisle/Cummings, Inc. (2.33 disc/office)

Brown, Lisle/Cummings, …2.33First Dallas Securities…2.33Fred Alger & Company, LLC2.33Global Financial Se… (this)2.33
Disclosures per office among small firm peers (lower is cleaner)

Global Financial Services, L.L.C. ranks #1,000 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.33 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

7 events

On FINRA BrokerCheck

Regulatory events

6 actions

86% of all disclosures

Disclosures per office

2.33 per office

7 ÷ 3 offices

Global Financial Services, L.L.C. vs. every disclosing firm

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

2 a cleaner per-office record than 9% 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%). This entry sits in this band. 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 6
Arbitrations 1
Civil Events 0
Total 7

Counts for Global Financial Services, L.L.C. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Houston, TX
CRD Number
35699

Elevated disclosures per office

Global Financial Services, L.L.C. in the heavier-disclosure third

Global Financial Services, L.L.C. carries 7 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#1,000 of 20,055). Regulator-initiated events are 86% of the book (6 regulatory / 1 arbitration / 0 civil).

Global Financial Services, L.L.C. runs 2.33 disclosures per branch office (cleaner than only 91% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Texas cohort · 1.73× state average

Global Financial Services, L.L.C. sits above the Texas disclosure average

Global Financial Services, L.L.C. reports 7 BrokerCheck disclosures, 1.73× the Texas average of 4.0 across 189 graded firms with a principal-office state on file.

In Texas, 110 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 Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Global Financial Services, L.L.C. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Global Financial Services, L.L.C. ranks #1,000 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #15 of 189 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 Global Financial Services, L.L.C.?
A grade of C reflects Global Financial Services, L.L.C.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 7 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Global Financial Services, L.L.C. have?
Global Financial Services, L.L.C. has 7 total FINRA disclosures, including 6 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Global Financial Services, L.L.C.?
Global Financial Services, L.L.C. operates 3 branch offices and is classified by FINRA as a small firm, registered in TX (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 Global Financial Services, L.L.C.'s disciplinary record?
You can verify Global Financial Services, L.L.C.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 35699. 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). Global Financial Services, L.L.C.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Global Financial Services, L.L.C. 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. Global Financial Services, L.L.C. carries 7 disclosures across 3 branch offices (about 2.33 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 Global Financial Services, L.L.C., both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Brown, Lisle/Cummings, Inc. (RI) - 2.33 disclosures/office, nearest small firm peer to Global Financial Services, L.L.C.'s 2.33
  • First Dallas Securities Incorporated (TX) - 2.33 disclosures/office, nearest small firm peer to Global Financial Services, L.L.C.'s 2.33
  • Fred Alger & Company, LLC (NY) - 2.33 disclosures/office, nearest small firm peer to Global Financial Services, L.L.C.'s 2.33
  • Firms in TX - state roster that includes Global Financial Services, L.L.C.'s registration home.
  • Red Flags in Advisor Records - How to read Global Financial Services, L.L.C.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 7 disclosures behind Global Financial Services, L.L.C.'s Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Global Financial Services, L.L.C..
  • Compare firms - put Global Financial Services, L.L.C. 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.