CRD #3254 · FINRA BrokerCheck + SEC IAPD

Sage, Rutty & Co., Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sage, Rutty & Co., Inc. ranks #1,062 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #106 of 868 on the same disclosure sort used on the state browse page. Sage, Rutty & Co., Inc. carries 7 BrokerCheck disclosures across 4 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
4
branch offices
7
disclosures
#1,062 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3254 Sage, Rutty & Co., Inc.

Sage, Rutty & Co., Inc. · Grade B · 7 disc · 1.75/office · Small firm

  • CRD 3254
  • GRADE B
  • DISC 7
  • REG 6
  • ARB 1
  • CIV 0
  • BRANCH 4
  • PER-OFF 1.75
  • RANK #1,062 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Dealerweb LLC (1.75 disc/office)

Dealerweb LLC1.75Monex Securities, Inc.1.75Puma Capital, LLC1.75Sage, Rutty & Co., … (this)1.75
Disclosures per office among small firm peers (lower is cleaner)

Sage, Rutty & Co., Inc. ranks #1,062 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.75 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

7 events

On FINRA BrokerCheck

Regulatory events

6 actions

86% of all disclosures

Disclosures per office

1.75 per office

7 ÷ 4 offices

Sage, Rutty & Co., Inc. vs. every disclosing firm

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

2 a cleaner per-office record than 16% 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%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). This entry sits in this band. 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 6
Arbitrations 1
Civil Events 0
Total 7

Counts for Sage, Rutty & Co., Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Rochester, NY, 14623
Formed
02/11/1937
State of Formation
New York
CRD Number
3254
SEC Number
533

Regulator-heavy mix

Sage, Rutty & Co., Inc. in the heavier-disclosure third

Sage, Rutty & Co., Inc. carries 7 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#1,062 of 20,055). Regulator-initiated events are 86% of the book (6 regulatory / 1 arbitration / 0 civil).

86% of Sage, Rutty & Co., Inc.'s 7 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Sage, Rutty & Co., Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.80× state average

Sage, Rutty & Co., Inc. tracks near the New York disclosure average

Sage, Rutty & Co., Inc. reports 7 BrokerCheck disclosures, about 0.80× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Sage, Rutty & Co., Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sage, Rutty & Co., Inc. ranks #1,062 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #106 of 868 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 Sage, Rutty & Co., Inc.?
A grade of B reflects Sage, Rutty & Co., Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 7 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sage, Rutty & Co., Inc. have?
Sage, Rutty & Co., Inc. has 7 total FINRA disclosures, including 6 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sage, Rutty & Co., Inc.?
Sage, Rutty & Co., Inc. operates 4 branch offices and is classified by FINRA as a small firm, registered in NY (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 Sage, Rutty & Co., Inc.'s disciplinary record?
You can verify Sage, Rutty & Co., Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3254. 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). Sage, Rutty & Co., Inc.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Sage, Rutty & Co., 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. Sage, Rutty & Co., Inc. carries 7 disclosures across 4 branch offices (about 1.75 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 Sage, Rutty & Co., Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Dealerweb LLC (NJ) - 1.75 disclosures/office, nearest small firm peer to Sage, Rutty & Co., Inc.'s 1.75
  • Monex Securities, Inc. (TX) - 1.75 disclosures/office, nearest small firm peer to Sage, Rutty & Co., Inc.'s 1.75
  • Puma Capital, LLC (NY) - 1.75 disclosures/office, nearest small firm peer to Sage, Rutty & Co., Inc.'s 1.75
  • Firms in NY - state roster that includes Sage, Rutty & Co., Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Sage, Rutty & Co., Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 7 disclosures behind Sage, Rutty & Co., Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Sage, Rutty & Co., Inc..
  • Compare firms - put Sage, Rutty & Co., 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.