CRD #13041 · FINRA BrokerCheck + SEC IAPD

National Financial Services LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, National Financial Services LLC ranks #73 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #1 of 98 on the same disclosure sort used on the state browse page. National Financial Services LLC carries 62 BrokerCheck disclosures across 70 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
70
branch offices
62
disclosures
#73 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 13041 National Financial Services LLC

National Financial Services LLC · Grade C · 62 disc · 0.89/office · Mid-sized firm

  • CRD 13041
  • GRADE C
  • DISC 62
  • REG 47
  • ARB 14
  • CIV 1
  • BRANCH 70
  • PER-OFF 0.89
  • RANK #73 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Moors & Cabot, Inc. (0.89 disc/office)

Moors & Cabot, Inc.0.89Hilltop Securities Inc.0.90Ingalls & Snyder, LLC0.90National Financial … (this)0.89
Disclosures per office among mid-sized firm peers (lower is cleaner)

National Financial Services LLC ranks #73 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.89 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

70 offices

FINRA: Large firm

Total disclosures

62 events

On FINRA BrokerCheck

Regulatory events

47 actions

76% of all disclosures

Disclosures per office

0.89 per office

62 ÷ 70 offices

National Financial Services LLC vs. every disclosing firm

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

1 a cleaner per-office record than 35% 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%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 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 47
Arbitrations 14
Civil Events 1
Total 62

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

Disclosure category share

Regulatory 47 Arbitration 14 Civil 1

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Boston, MA
CRD Number
13041

Regulator-heavy mix

National Financial Services LLC in the heavier-disclosure third

National Financial Services LLC carries 62 BrokerCheck disclosures across 70 branch offices - a heavier-third raw book among graded firms (#73 of 20,055). Regulator-initiated events are 76% of the book (47 regulatory / 14 arbitration / 1 civil).

76% of National Financial Services LLC's 62 disclosures are regulator-initiated (47 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Massachusetts cohort · 22× state average

National Financial Services LLC sits above the Massachusetts disclosure average

National Financial Services LLC reports 62 BrokerCheck disclosures, 22× the Massachusetts average of 2.9 across 98 graded firms with a principal-office state on file.

In Massachusetts, 64 firms carry Grade A and 0 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 Massachusetts state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does National Financial Services LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, National Financial Services LLC ranks #73 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #1 of 98 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 National Financial Services LLC?
A grade of C reflects National Financial Services LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 62 total disclosures across 70 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does National Financial Services LLC have?
National Financial Services LLC has 62 total FINRA disclosures, including 47 regulatory events, 14 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is National Financial Services LLC?
National Financial Services LLC operates 70 branch offices and is classified by FINRA as a large firm, registered in MA (Mid-sized 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 National Financial Services LLC's disciplinary record?
You can verify National Financial Services LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13041. 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). National Financial Services LLC's 62 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid National Financial Services LLC 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. National Financial Services LLC carries 62 disclosures across 70 branch offices (about 0.89 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 National Financial Services LLC, both outside MA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Moors & Cabot, Inc. (MA) - 0.89 disclosures/office, nearest mid-sized firm peer to National Financial Services LLC's 0.89
  • Hilltop Securities Inc. (TX) - 0.90 disclosures/office, nearest mid-sized firm peer to National Financial Services LLC's 0.89
  • Ingalls & Snyder, LLC (NY) - 0.90 disclosures/office, nearest mid-sized firm peer to National Financial Services LLC's 0.89
  • Firms in MA - state roster that includes National Financial Services LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like National Financial Services LLC.
  • Reading BrokerCheck Reports - How National Financial Services LLC's 0.89 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to National Financial Services LLC.
  • Compare firms - put National Financial Services LLC 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.