CRD #147933 · FINRA BrokerCheck + SEC IAPD

Solium Financial Services LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Solium Financial Services LLC ranks #111 of 20,055 by disclosure count (most disclosures first). Solium Financial Services LLC carries 46 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
46
disclosures
#111 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 147933 Solium Financial Services LLC

Solium Financial Services LLC · Grade F · 46 disc · 46.00/office · Single-office firm

  • CRD 147933
  • GRADE F
  • DISC 46
  • REG 46
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #111 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: LH Ross & Company, Inc. (46.00 disc/office)

LH Ross & Company, Inc.46.00FSC Securities Corporation47.00Barron Chase Securities…44.00Solium Financial Se… (this)46.00
Disclosures per office among single-office firm peers (lower is cleaner)

Solium Financial Services LLC ranks #111 of 20,055 by disclosure count among graded broker-dealers; heavy load at 46.00 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

46 events

On FINRA BrokerCheck

Regulatory events

46 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 46
Arbitrations 0
Civil Events 0
Total 46

Counts for Solium Financial Services LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 46 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
147933

Regulator-heavy mix

Solium Financial Services LLC in the heavier-disclosure third

Solium Financial Services LLC carries 46 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#111 of 20,055). Regulator-initiated events are 100% of the book (46 regulatory / 0 arbitration / 0 civil).

100% of Solium Financial Services LLC's 46 disclosures are regulator-initiated (46 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Solium Financial Services 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 Solium Financial Services LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Solium Financial Services LLC ranks #111 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 Solium Financial Services LLC?
A grade of F reflects Solium Financial Services LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 46 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Solium Financial Services LLC have?
Solium Financial Services LLC has 46 total FINRA disclosures, including 46 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Solium Financial Services LLC?
Solium Financial Services LLC 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 Solium Financial Services LLC's disciplinary record?
You can verify Solium Financial Services LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 147933. 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). Solium Financial Services LLC's 46 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Solium Financial Services 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. Solium Financial Services LLC carries 46 disclosures across 0 branch offices (about 46.00 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.