CRD #6112 · FINRA BrokerCheck + SEC IAPD

Schroder & Co. Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Schroder & Co. Inc. ranks #242 of 20,055 by disclosure count (most disclosures first). Schroder & Co. Inc. carries 25 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
25
disclosures
#242 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6112 Schroder & Co. Inc.

Schroder & Co. Inc. · Grade F · 25 disc · 25.00/office · Single-office firm

  • CRD 6112
  • GRADE F
  • DISC 25
  • REG 25
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #242 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Aragon Financial Services, Inc. (25.00 disc/office)

Aragon Financial Servic…25.00Essex Radez LLC25.00First Liberty Investmen…25.00Schroder & Co. Inc. (this)25.00
Disclosures per office among single-office firm peers (lower is cleaner)

Schroder & Co. Inc. ranks #242 of 20,055 by disclosure count among graded broker-dealers; heavy load at 25.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

25 events

On FINRA BrokerCheck

Regulatory events

25 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 25
Arbitrations 0
Civil Events 0
Total 25

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

Disclosure category share

Regulatory 25 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
08/20/1971
State of Formation
Delaware
CRD Number
6112
SEC Number
16918

Regulator-heavy mix

Schroder & Co. Inc. in the heavier-disclosure third

Schroder & Co. Inc. carries 25 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#242 of 20,055). Regulator-initiated events are 100% of the book (25 regulatory / 0 arbitration / 0 civil).

100% of Schroder & Co. Inc.'s 25 disclosures are regulator-initiated (25 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Schroder & Co. 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 Schroder & Co. Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Schroder & Co. Inc. ranks #242 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 Schroder & Co. Inc.?
A grade of F reflects Schroder & Co. Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 25 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Schroder & Co. Inc. have?
Schroder & Co. Inc. has 25 total FINRA disclosures, including 25 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Schroder & Co. Inc.?
Schroder & Co. 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 Schroder & Co. Inc.'s disciplinary record?
You can verify Schroder & Co. Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6112. 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). Schroder & Co. Inc.'s 25 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Schroder & 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. Schroder & Co. Inc. carries 25 disclosures across 0 branch offices (about 25.00 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.