CRD #11604 · FINRA BrokerCheck + SEC IAPD

Pennaluna & Company

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pennaluna & Company ranks #493 of 20,055 by disclosure count (most disclosures first). Pennaluna & Company carries 14 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
14
disclosures
#493 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 11604 Pennaluna & Company

Pennaluna & Company · Grade D · 14 disc · 14.00/office · Single-office firm

  • CRD 11604
  • GRADE D
  • DISC 14
  • REG 14
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #493 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Advantage Capital Corporation (14.00 disc/office)

Advantage Capital Corpo…14.00Aura Financial Services…14.00Avalon Investment & Sec…14.00Pennaluna & Company (this)14.00
Disclosures per office among single-office firm peers (lower is cleaner)

Pennaluna & Company ranks #493 of 20,055 by disclosure count among graded broker-dealers; heavy load at 14.00 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

14 events

On FINRA BrokerCheck

Regulatory events

14 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 14
Arbitrations 0
Civil Events 0
Total 14

Counts for Pennaluna & Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 14 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
11604

Regulator-heavy mix

Pennaluna & Company in the heavier-disclosure third

Pennaluna & Company carries 14 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#493 of 20,055). Regulator-initiated events are 100% of the book (14 regulatory / 0 arbitration / 0 civil).

100% of Pennaluna & Company's 14 disclosures are regulator-initiated (14 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Pennaluna & Company'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 Pennaluna & Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pennaluna & Company ranks #493 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 Pennaluna & Company?
A grade of D reflects Pennaluna & Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 14 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Pennaluna & Company have?
Pennaluna & Company has 14 total FINRA disclosures, including 14 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Pennaluna & Company?
Pennaluna & Company 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 Pennaluna & Company's disciplinary record?
You can verify Pennaluna & Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 11604. 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). Pennaluna & Company's 14 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Pennaluna & Company 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. Pennaluna & Company carries 14 disclosures across 0 branch offices (about 14.00 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.