CRD #2225 · FINRA BrokerCheck + SEC IAPD

SII Investments, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SII Investments, Inc. ranks #272 of 20,055 by disclosure count (most disclosures first). SII Investments, Inc. carries 22 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
22
disclosures
#272 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2225 SII Investments, Inc.

SII Investments, Inc. · Grade F · 22 disc · 22.00/office · Single-office firm

  • CRD 2225
  • GRADE F
  • DISC 22
  • REG 13
  • ARB 9
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #272 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Ameritrade Northwest, Inc. (22.00 disc/office)

Ameritrade Northwest, Inc.22.00Canaccord Genuity Secur…22.00Consolidated Trading LLC22.00SII Investments, Inc. (this)22.00
Disclosures per office among single-office firm peers (lower is cleaner)

SII Investments, Inc. ranks #272 of 20,055 by disclosure count among graded broker-dealers; heavy load at 22.00 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

22 events

On FINRA BrokerCheck

Regulatory events

13 actions

59% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 13
Arbitrations 9
Civil Events 0
Total 22

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

Disclosure category share

Regulatory 13 Arbitration 9 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
02/27/1968
State of Formation
Wisconsin
CRD Number
2225
SEC Number
13963

Heavy disclosure book

SII Investments, Inc. in the heavier-disclosure third

SII Investments, Inc. carries 22 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#272 of 20,055). Mix is 13 regulatory, 9 arbitration, and 0 civil (59% regulator share).

SII Investments, Inc. ranks #272 of 20,055 by BrokerCheck disclosure count among graded firms (22 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of SII Investments, 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 SII Investments, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SII Investments, Inc. ranks #272 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 SII Investments, Inc.?
A grade of F reflects SII Investments, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 22 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does SII Investments, Inc. have?
SII Investments, Inc. has 22 total FINRA disclosures, including 13 regulatory events, 9 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is SII Investments, Inc.?
SII Investments, 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 SII Investments, Inc.'s disciplinary record?
You can verify SII Investments, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2225. 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). SII Investments, Inc.'s 22 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid SII Investments, 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. SII Investments, Inc. carries 22 disclosures across 0 branch offices (about 22.00 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.