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.

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.