CRD #759 · FINRA BrokerCheck + SEC IAPD

Securities Management & Research, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Securities Management & Research, Inc. ranks #1,539 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #5 of 17 on the same disclosure sort used on the state browse page. Securities Management & Research, Inc. carries 5 BrokerCheck disclosures across 56 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
56
branch offices
5
disclosures
#1,539 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 759 Securities Management & Research, Inc.

Securities Management & Research, Inc. · Grade B · 5 disc · 0.09/office · Mid-sized firm

  • CRD 759
  • GRADE B
  • DISC 5
  • REG 4
  • ARB 1
  • CIV 0
  • BRANCH 56
  • PER-OFF 0.09
  • RANK #1,539 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Associated Investment Services, Inc. (0.09 disc/office)

Associated Investment S…0.09Funds Distributor, LLC0.09Invesco Distributors, Inc.0.09Securities Manageme… (this)0.09
Disclosures per office among mid-sized firm peers (lower is cleaner)

Securities Management & Research, Inc. ranks #1,539 of 20,055 by disclosure count among graded broker-dealers; light load at 0.09 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

56 offices

FINRA: Small firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

4 actions

80% of all disclosures

Disclosures per office

0.09 per office

5 ÷ 56 offices

Securities Management & Research, 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 88% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 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 4
Arbitrations 1
Civil Events 0
Total 5

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

Disclosure category share

Regulatory 4 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Cedar Rapids, IA
CRD Number
759

Lower disclosures per office

Securities Management & Research, Inc. in the heavier-disclosure third

Securities Management & Research, Inc. carries 5 BrokerCheck disclosures across 56 branch offices - a heavier-third raw book among graded firms (#1,539 of 20,055). Regulator-initiated events are 80% of the book (4 regulatory / 1 arbitration / 0 civil).

Securities Management & Research, Inc. runs 0.09 disclosures per branch office (cleaner than 88% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Iowa cohort · 0.85× state average

Securities Management & Research, Inc. tracks near the Iowa disclosure average

Securities Management & Research, Inc. reports 5 BrokerCheck disclosures, about 0.85× the Iowa average of 5.9 across 17 graded firms.

In Iowa, 5 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 Iowa state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Securities Management & Research, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Securities Management & Research, Inc. ranks #1,539 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #5 of 17 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 Securities Management & Research, Inc.?
A grade of B reflects Securities Management & Research, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 5 total disclosures across 56 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Securities Management & Research, Inc. have?
Securities Management & Research, Inc. has 5 total FINRA disclosures, including 4 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Securities Management & Research, Inc.?
Securities Management & Research, Inc. operates 56 branch offices and is classified by FINRA as a small firm, registered in IA (Mid-sized 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 Securities Management & Research, Inc.'s disciplinary record?
You can verify Securities Management & Research, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 759. 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). Securities Management & Research, Inc.'s 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Securities Management & Research, 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. Securities Management & Research, Inc. carries 5 disclosures across 56 branch offices (about 0.09 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 Securities Management & Research, Inc., both outside IA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Associated Investment Services, Inc. (WI) - 0.09 disclosures/office, nearest mid-sized firm peer to Securities Management & Research, Inc.'s 0.09
  • Funds Distributor, LLC (ME) - 0.09 disclosures/office, nearest mid-sized firm peer to Securities Management & Research, Inc.'s 0.09
  • Invesco Distributors, Inc. (TX) - 0.09 disclosures/office, nearest mid-sized firm peer to Securities Management & Research, Inc.'s 0.09
  • Firms in IA - state roster that includes Securities Management & Research, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Securities Management & Research, Inc..
  • Reading BrokerCheck Reports - How Securities Management & Research, Inc.'s 0.09 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Securities Management & Research, Inc..
  • Compare firms - put Securities Management & Research, 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.