CRD #3441 · FINRA BrokerCheck + SEC IAPD

Smith, Moore & Co.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Smith, Moore & Co. ranks #795 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #6 of 36 on the same disclosure sort used on the state browse page. Smith, Moore & Co. carries 9 BrokerCheck disclosures across 16 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
16
branch offices
9
disclosures
#795 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3441 Smith, Moore & Co.

Smith, Moore & Co. · Grade B · 9 disc · 0.56/office · Regional firm

  • CRD 3441
  • GRADE B
  • DISC 9
  • REG 7
  • ARB 2
  • CIV 0
  • BRANCH 16
  • PER-OFF 0.56
  • RANK #795 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Huntleigh Securities Corporation (0.57 disc/office)

Huntleigh Securities Co…0.57Natalliance Securities,…0.57Samuel a. Ramirez & Com…0.57Smith, Moore & Co. (this)0.56
Disclosures per office among regional firm peers (lower is cleaner)

Smith, Moore & Co. ranks #795 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.56 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

16 offices

FINRA: Small firm

Total disclosures

9 events

On FINRA BrokerCheck

Regulatory events

7 actions

78% of all disclosures

Disclosures per office

0.56 per office

9 ÷ 16 offices

Smith, Moore & Co. vs. every disclosing firm

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

1 a cleaner per-office record than 44% 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%). This entry sits in this band. 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 7
Arbitrations 2
Civil Events 0
Total 9

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

Disclosure category share

Regulatory 7 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Clayton, MO
CRD Number
3441

Regulator-heavy mix

Smith, Moore & Co. in the heavier-disclosure third

Smith, Moore & Co. carries 9 BrokerCheck disclosures across 16 branch offices - a heavier-third raw book among graded firms (#795 of 20,055). Regulator-initiated events are 78% of the book (7 regulatory / 2 arbitration / 0 civil).

78% of Smith, Moore & Co.'s 9 disclosures are regulator-initiated (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Smith, Moore & Co.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Missouri cohort · 0.26× state average

Smith, Moore & Co. sits below the Missouri disclosure average

Smith, Moore & Co. reports 9 BrokerCheck disclosures, 0.26× the Missouri average of 34.3, lighter than most of the 36 graded firms filed there.

In Missouri, 9 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 Missouri state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Smith, Moore & Co. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Smith, Moore & Co. ranks #795 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #6 of 36 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 Smith, Moore & Co.?
A grade of B reflects Smith, Moore & Co.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 9 total disclosures across 16 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Smith, Moore & Co. have?
Smith, Moore & Co. has 9 total FINRA disclosures, including 7 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Smith, Moore & Co.?
Smith, Moore & Co. operates 16 branch offices and is classified by FINRA as a small firm, registered in MO (Regional 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 Smith, Moore & Co.'s disciplinary record?
You can verify Smith, Moore & Co.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3441. 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). Smith, Moore & Co.'s 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Smith, Moore & Co. 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. Smith, Moore & Co. carries 9 disclosures across 16 branch offices (about 0.56 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 Smith, Moore & Co., both outside MO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.