CRD #21950 · FINRA BrokerCheck + SEC IAPD

Liss Financial Services

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Liss Financial Services ranks #420 of 20,055 by disclosure count (most disclosures first). Liss Financial Services carries 16 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
0
branch offices
16
disclosures
#420 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 21950 Liss Financial Services

Liss Financial Services · Grade D · 16 disc · 16.00/office · Single-office firm

  • CRD 21950
  • GRADE D
  • DISC 16
  • REG 10
  • ARB 6
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #420 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Bishop, Rosen & Co., Inc. (16.00 disc/office)

Bishop, Rosen & Co., Inc.16.00Brookstone Securities, …16.00Brookville Capital Part…16.00Liss Financial Serv… (this)16.00
Disclosures per office among single-office firm peers (lower is cleaner)

Liss Financial Services ranks #420 of 20,055 by disclosure count among graded broker-dealers; heavy load at 16.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

0 offices

FINRA: Small firm

Total disclosures

16 events

On FINRA BrokerCheck

Regulatory events

10 actions

63% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 6
Civil Events 0
Total 16

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

Disclosure category share

Regulatory 10 Arbitration 6 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
21950

Heavy disclosure book

Liss Financial Services in the heavier-disclosure third

Liss Financial Services carries 16 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#420 of 20,055). Regulator-initiated events are 63% of the book (10 regulatory / 6 arbitration / 0 civil).

Liss Financial Services ranks #420 of 20,055 by BrokerCheck disclosure count among graded firms (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Liss Financial Services'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 Liss Financial Services sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Liss Financial Services ranks #420 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 D mean for Liss Financial Services?
A grade of D reflects Liss Financial Services's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 16 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Liss Financial Services have?
Liss Financial Services has 16 total FINRA disclosures, including 10 regulatory events, 6 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Liss Financial Services?
Liss Financial Services 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 Liss Financial Services's disciplinary record?
You can verify Liss Financial Services's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 21950. 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). Liss Financial Services's 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Liss Financial Services 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. Liss Financial Services carries 16 disclosures across 0 branch offices (about 16.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.

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.