Branch offices
0 offices
FINRA: Small firm
CRD #7119 · FINRA BrokerCheck + SEC IAPD
Securities Resolution Corporation
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Securities Resolution Corporation ranks #536 of 20,055 by disclosure count (most disclosures first). Securities Resolution Corporation carries 13 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 13
- disclosures
- #536 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 7119 Securities Resolution Corporation
Securities Resolution Corporation · Grade D · 13 disc · 13.00/office · Single-office firm
- CRD 7119
- GRADE D
- DISC 13
- REG 7
- ARB 4
- CIV 2
- BRANCH 0
- PER-OFF n/a
- RANK #536 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Advanced Equities, Inc. (13.00 disc/office)
Securities Resolution Corporation ranks #536 of 20,055 by disclosure count among graded broker-dealers; heavy load at 13.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
Total disclosures
13 events
On FINRA BrokerCheck
Regulatory events
7 actions
54% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 7 |
| Arbitrations | 4 |
| Civil Events | 2 |
| Total | 13 |
Counts for Securities Resolution Corporation reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 7 Arbitration 4 Civil 2
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 7119
Heavy disclosure book
Securities Resolution Corporation in the heavier-disclosure third
Securities Resolution Corporation carries 13 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#536 of 20,055). Mix is 7 regulatory, 4 arbitration, and 2 civil (54% regulator share).
Securities Resolution Corporation ranks #536 of 20,055 by BrokerCheck disclosure count among graded firms (13 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Securities Resolution Corporation'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 Securities Resolution Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Securities Resolution Corporation ranks #536 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 D mean for Securities Resolution Corporation?
A grade of D reflects Securities Resolution Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 13 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Securities Resolution Corporation have?
Securities Resolution Corporation has 13 total FINRA disclosures, including 7 regulatory events, 4 arbitrations, 2 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Securities Resolution Corporation?
Securities Resolution Corporation 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 Securities Resolution Corporation's disciplinary record?
You can verify Securities Resolution Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7119. 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 Resolution Corporation's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Securities Resolution Corporation 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 Resolution Corporation carries 13 disclosures across 0 branch offices (about 13.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Advanced Equities, Inc. - 13.00 disclosures/office, nearest single-office firm peer to Securities Resolution Corporation's 13.00
- Barrett Securities Inc. - 13.00 disclosures/office, nearest single-office firm peer to Securities Resolution Corporation's 13.00
- Burlington Capital Markets Inc. - 13.00 disclosures/office, nearest single-office firm peer to Securities Resolution Corporation's 13.00
- Red Flags in Advisor Records - How to read Securities Resolution Corporation's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 13 disclosures behind Securities Resolution Corporation's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Securities Resolution Corporation.
- Compare firms - put Securities Resolution Corporation 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.