Branch offices
0 offices
FINRA: Small firm
CRD #103849 · FINRA BrokerCheck + SEC IAPD
Optionsxpress, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Optionsxpress, Inc. ranks #166 of 20,055 by disclosure count (most disclosures first). Optionsxpress, Inc. carries 33 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 33
- disclosures
- #166 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 103849 Optionsxpress, Inc.
Optionsxpress, Inc. · Grade F · 33 disc · 33.00/office · Single-office firm
- CRD 103849
- GRADE F
- DISC 33
- REG 30
- ARB 3
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #166 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Bluestone Capital Corp. (33.00 disc/office)
Optionsxpress, Inc. ranks #166 of 20,055 by disclosure count among graded broker-dealers; heavy load at 33.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
33 events
On FINRA BrokerCheck
Regulatory events
30 actions
91% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 30 |
| Arbitrations | 3 |
| Civil Events | 0 |
| Total | 33 |
Counts for Optionsxpress, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 30 Arbitration 3 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 11/13/2000
- State of Formation
- Delaware
- CRD Number
- 103849
- SEC Number
- 52354
Regulator-heavy mix
Optionsxpress, Inc. in the heavier-disclosure third
Optionsxpress, Inc. carries 33 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#166 of 20,055). Regulator-initiated events are 91% of the book (30 regulatory / 3 arbitration / 0 civil).
91% of Optionsxpress, Inc.'s 33 disclosures are regulator-initiated (30 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Optionsxpress, Inc.'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 Optionsxpress, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Optionsxpress, Inc. ranks #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 F mean for Optionsxpress, Inc.?
A grade of F reflects Optionsxpress, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 33 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Optionsxpress, Inc. have?
Optionsxpress, Inc. has 33 total FINRA disclosures, including 30 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Optionsxpress, Inc.?
Optionsxpress, Inc. 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 Optionsxpress, Inc.'s disciplinary record?
You can verify Optionsxpress, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 103849. 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). Optionsxpress, Inc.'s 33 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Optionsxpress, Inc. 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. Optionsxpress, Inc. carries 33 disclosures across 0 branch offices (about 33.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Bluestone Capital Corp. - 33.00 disclosures/office, nearest single-office firm peer to Optionsxpress, Inc.'s 33.00
- GKN Securities Corp. - 33.00 disclosures/office, nearest single-office firm peer to Optionsxpress, Inc.'s 33.00
- Investors Capital Corp. - 33.00 disclosures/office, nearest single-office firm peer to Optionsxpress, Inc.'s 33.00
- Red Flags in Advisor Records - How to read Optionsxpress, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 33 disclosures behind Optionsxpress, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Optionsxpress, Inc..
- Compare firms - put Optionsxpress, Inc. 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.