Branch offices
3 offices
FINRA: Small firm
CRD #146103 · FINRA BrokerCheck + SEC IAPD
Rise Financial Services, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rise Financial Services, LLC ranks #16,461 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #213 of 251 on the same disclosure sort used on the state browse page. Rise Financial Services, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 3 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 3
- branch offices
- 0
- disclosures
- #16,461 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 146103 Rise Financial Services, LLC
Rise Financial Services, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 146103
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 0.00
- RANK #16,461 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Rise Financial Services, LLC ranks #16,461 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 3 offices
Clean disclosure surface
Rise Financial Services, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 3 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Miami Beach, FL
- CRD Number
- 146103
Clean BrokerCheck surface
Rise Financial Services, LLC's clean BrokerCheck surface
Rise Financial Services, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 3 branch offices (Grade A).
Rise Financial Services, LLC shows zero reportable disclosures across 3 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Rise Financial Services, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Florida cohort · 0.00× state average
Rise Financial Services, LLC sits below the Florida disclosure average
Rise Financial Services, LLC reports 0 BrokerCheck disclosures, 0.00× the Florida average of 4.6, lighter than most of the 251 graded firms filed there.
In Florida, 152 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 Florida state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Rise Financial Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rise Financial Services, LLC ranks #16,461 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #213 of 251 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 A mean for Rise Financial Services, LLC?
A grade of A means Rise Financial Services, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Rise Financial Services, LLC have?
Rise Financial Services, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Rise Financial Services, LLC?
Rise Financial Services, LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in FL (Small 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 Rise Financial Services, LLC's disciplinary record?
You can verify Rise Financial Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 146103. 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 BrokerCheck record. Rise Financial Services, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Rise Financial Services, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Rise Financial Services, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Rise Financial Services, LLC's 0.00
- Firms in FL - state roster that includes Rise Financial Services, LLC's registration home.
- How to Vet a Financial Advisor - Use Rise Financial Services, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Rise Financial Services, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Rise Financial Services, LLC.
- Compare firms - put Rise Financial Services, LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.