Branch offices
0 offices
FINRA: Small firm
CRD #45531 · FINRA BrokerCheck + SEC IAPD
Southridge Investment Group LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Southridge Investment Group LLC ranks #3,187 of 20,055 by disclosure count (most disclosures first). Southridge Investment Group LLC carries 2 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 2
- disclosures
- #3,187 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 45531 Southridge Investment Group LLC
Southridge Investment Group LLC · Grade B · 2 disc · 2.00/office · Single-office firm
- CRD 45531
- GRADE B
- DISC 2
- REG 1
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #3,187 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)
Southridge Investment Group LLC ranks #3,187 of 20,055 by disclosure count among graded broker-dealers; heavy load at 2.00 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
Total disclosures
2 events
On FINRA BrokerCheck
Regulatory events
1 action
50% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 2 |
Counts for Southridge Investment Group LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 45531
Heavy disclosure book
Southridge Investment Group LLC in the heavier-disclosure third
Southridge Investment Group LLC carries 2 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#3,187 of 20,055). Mix is 1 regulatory, 1 arbitration, and 0 civil (50% regulator share).
Southridge Investment Group LLC ranks #3,187 of 20,055 by BrokerCheck disclosure count among graded firms (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Southridge Investment Group 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 Southridge Investment Group LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Southridge Investment Group LLC ranks #3,187 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 B mean for Southridge Investment Group LLC?
A grade of B reflects Southridge Investment Group LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Southridge Investment Group LLC have?
Southridge Investment Group LLC has 2 total FINRA disclosures, including 1 regulatory event, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Southridge Investment Group LLC?
Southridge Investment Group 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 Southridge Investment Group LLC's disciplinary record?
You can verify Southridge Investment Group LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 45531. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Southridge Investment Group 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. Southridge Investment Group LLC carries 2 disclosures across 0 branch offices (about 2.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Abramenko & Company, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Southridge Investment Group LLC's 2.00
- Abshier Webb Donnelly & Baker, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Southridge Investment Group LLC's 2.00
- ABW Trading, LLC - 2.00 disclosures/office, nearest single-office firm peer to Southridge Investment Group LLC's 2.00
- Red Flags in Advisor Records - How to read Southridge Investment Group LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 2 disclosures behind Southridge Investment Group LLC's Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Southridge Investment Group LLC.
- Compare firms - put Southridge Investment Group 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.