CRD #3403 · FINRA BrokerCheck + SEC IAPD

Shufro, Rose & Co., LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Shufro, Rose & Co., LLC ranks #642 of 20,055 by disclosure count (most disclosures first). Shufro, Rose & Co., LLC carries 11 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
11
disclosures
#642 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3403 Shufro, Rose & Co., LLC

Shufro, Rose & Co., LLC · Grade C · 11 disc · 3.67/office · Small firm

  • CRD 3403
  • GRADE C
  • DISC 11
  • REG 11
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 3.67
  • RANK #642 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Bulltick, LLC (3.67 disc/office)

Bulltick, LLC3.67TD Prime Services LLC3.67Wall Street Access3.78Shufro, Rose & Co.,… (this)3.67
Disclosures per office among small firm peers (lower is cleaner)

Shufro, Rose & Co., LLC ranks #642 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.67 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

3 offices

FINRA: Small firm

Total disclosures

11 events

On FINRA BrokerCheck

Regulatory events

11 actions

100% of all disclosures

Disclosures per office

3.67 per office

11 ÷ 3 offices

Shufro, Rose & Co., LLC vs. every disclosing firm

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

4 a cleaner per-office record than 2% 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%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). This entry sits in this band. 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 11
Arbitrations 0
Civil Events 0
Total 11

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

Disclosure category share

Regulatory 11 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
3403

Regulator-heavy mix

Shufro, Rose & Co., LLC in the heavier-disclosure third

Shufro, Rose & Co., LLC carries 11 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#642 of 20,055). Regulator-initiated events are 100% of the book (11 regulatory / 0 arbitration / 0 civil).

100% of Shufro, Rose & Co., LLC's 11 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Shufro, Rose & Co., LLC'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 Shufro, Rose & Co., LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Shufro, Rose & Co., LLC ranks #642 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 C mean for Shufro, Rose & Co., LLC?
A grade of C reflects Shufro, Rose & Co., LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 11 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Shufro, Rose & Co., LLC have?
Shufro, Rose & Co., LLC has 11 total FINRA disclosures, including 11 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Shufro, Rose & Co., LLC?
Shufro, Rose & Co., LLC operates 3 branch offices and is classified by FINRA as a small firm (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 Shufro, Rose & Co., LLC's disciplinary record?
You can verify Shufro, Rose & Co., LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3403. 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). Shufro, Rose & Co., LLC's 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Shufro, Rose & Co., LLC 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. Shufro, Rose & Co., LLC carries 11 disclosures across 3 branch offices (about 3.67 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Bulltick, LLC (FL) - 3.67 disclosures/office, nearest small firm peer to Shufro, Rose & Co., LLC's 3.67
  • TD Prime Services LLC (NY) - 3.67 disclosures/office, nearest small firm peer to Shufro, Rose & Co., LLC's 3.67
  • Wall Street Access (NY) - 3.78 disclosures/office, nearest small firm peer to Shufro, Rose & Co., LLC's 3.67
  • Red Flags in Advisor Records - How to read Shufro, Rose & Co., LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 11 disclosures behind Shufro, Rose & Co., LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Shufro, Rose & Co., LLC.
  • Compare firms - put Shufro, Rose & Co., LLC 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.