CRD #149325 · FINRA BrokerCheck + SEC IAPD

Rockfleet Financial Services, Inc

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rockfleet Financial Services, Inc ranks #4,682 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #96 of 251 on the same disclosure sort used on the state browse page. Rockfleet Financial Services, Inc carries 1 BrokerCheck disclosure across 4 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
4
branch offices
1
disclosure
#4,682 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 149325 Rockfleet Financial Services, Inc

Rockfleet Financial Services, Inc · Grade B · 1 disc · 0.25/office · Small firm

  • CRD 149325
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 4
  • PER-OFF 0.25
  • RANK #4,682 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Ariel Distributors, LLC (0.25 disc/office)

Ariel Distributors, LLC0.25Beacons Strategic Capit…0.25Builder Advisor Group, LLC0.25Rockfleet Financial… (this)0.25
Disclosures per office among small firm peers (lower is cleaner)

Rockfleet Financial Services, Inc ranks #4,682 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.25 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

4 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.25 per office

1 ÷ 4 offices

Rockfleet Financial Services, Inc vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 73% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 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 1
Arbitrations 0
Civil Events 0
Total 1

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

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Sarasota, FL
CRD Number
149325

Regulator-heavy mix

Rockfleet Financial Services, Inc in the heavier-disclosure third

Rockfleet Financial Services, Inc carries 1 BrokerCheck disclosure across 4 branch offices - a heavier-third raw book among graded firms (#4,682 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Rockfleet Financial Services, Inc's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Florida cohort · 0.22× state average

Rockfleet Financial Services, Inc sits below the Florida disclosure average

Rockfleet Financial Services, Inc reports 1 BrokerCheck disclosure, 0.22× 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 Rockfleet Financial Services, Inc sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rockfleet Financial Services, Inc ranks #4,682 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #96 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 B mean for Rockfleet Financial Services, Inc?
A grade of B reflects Rockfleet Financial Services, Inc's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Rockfleet Financial Services, Inc have?
Rockfleet Financial Services, Inc has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Rockfleet Financial Services, Inc?
Rockfleet Financial Services, Inc operates 4 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 Rockfleet Financial Services, Inc's disciplinary record?
You can verify Rockfleet Financial Services, Inc's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 149325. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Rockfleet Financial Services, 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. Rockfleet Financial Services, Inc carries 1 disclosure across 4 branch offices (about 0.25 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Ariel Distributors, LLC (IL) - 0.25 disclosures/office, nearest small firm peer to Rockfleet Financial Services, Inc's 0.25
  • Beacons Strategic Capital, Inc. (CA) - 0.25 disclosures/office, nearest small firm peer to Rockfleet Financial Services, Inc's 0.25
  • Builder Advisor Group, LLC (CA) - 0.25 disclosures/office, nearest small firm peer to Rockfleet Financial Services, Inc's 0.25
  • Firms in FL - state roster that includes Rockfleet Financial Services, Inc's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Rockfleet Financial Services, Inc.
  • Reading BrokerCheck Reports - How Rockfleet Financial Services, Inc's 0.25 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Rockfleet Financial Services, Inc.
  • Compare firms - put Rockfleet Financial Services, 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.