Branch offices
0 offices
FINRA: Small firm
CRD #38477 · FINRA BrokerCheck + SEC IAPD
James River Securities Corp.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, James River Securities Corp. ranks #4,166 of 20,055 by disclosure count (most disclosures first). James River Securities Corp. carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 1
- disclosure
- #4,166 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 38477 James River Securities Corp.
James River Securities Corp. · Grade B · 1 disc · 1.00/office · Single-office firm
- CRD 38477
- GRADE B
- DISC 1
- REG 1
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #4,166 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)
James River Securities Corp. ranks #4,166 of 20,055 by disclosure count among graded broker-dealers; heavy load at 1.00 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
Total disclosures
1 event
On FINRA BrokerCheck
Regulatory events
1 action
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 1 |
Counts for James River Securities Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 38477
Regulator-heavy mix
James River Securities Corp. in the heavier-disclosure third
James River Securities Corp. carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#4,166 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).
100% of James River Securities Corp.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of James River Securities Corp.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does James River Securities Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, James River Securities Corp. ranks #4,166 of 20,055 by disclosure count (most disclosures first). 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 James River Securities Corp.?
A grade of B reflects James River Securities Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does James River Securities Corp. have?
James River Securities Corp. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is James River Securities Corp.?
James River Securities Corp. operates 0 branch offices and is classified by FINRA as a small firm (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 James River Securities Corp.'s disciplinary record?
You can verify James River Securities Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 38477. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid James River Securities Corp. 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. James River Securities Corp. carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to James River Securities Corp.'s 1.00
- 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to James River Securities Corp.'s 1.00
- 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to James River Securities Corp.'s 1.00
- Red Flags in Advisor Records - How to read James River Securities Corp.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 1 disclosure behind James River Securities Corp.'s Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as James River Securities Corp..
- Compare firms - put James River Securities Corp. 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.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.