CRD #30107 · FINRA BrokerCheck + SEC IAPD

State Street Global Advisors Funds Distributors, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, State Street Global Advisors Funds Distributors, LLC ranks #396 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #6 of 98 on the same disclosure sort used on the state browse page. State Street Global Advisors Funds Distributors, LLC carries 17 BrokerCheck disclosures across 6 branch offices - elevated load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
6
branch offices
17
disclosures
#396 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 30107 State Street Global Advisors Funds Distributors, LLC

State Street Global Advisors Funds Distributors, LLC · Grade D · 17 disc · 2.83/office · Small firm

  • CRD 30107
  • GRADE D
  • DISC 17
  • REG 17
  • ARB 0
  • CIV 0
  • BRANCH 6
  • PER-OFF 2.83
  • RANK #396 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Rothschild Investment LLC (2.83 disc/office)

Rothschild Investment LLC2.83BNY Mellon Capital Mark…2.89Intercoastal Capital Ma…2.75State Street Global… (this)2.83
Disclosures per office among small firm peers (lower is cleaner)

State Street Global Advisors Funds Distributors, LLC ranks #396 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.83 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

6 offices

FINRA: Medium firm

Total disclosures

17 events

On FINRA BrokerCheck

Regulatory events

17 actions

100% of all disclosures

Disclosures per office

2.83 per office

17 ÷ 6 offices

State Street Global Advisors Funds Distributors, LLC vs. every disclosing firm

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

3 a cleaner per-office record than 6% 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%). This entry sits in this band. 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 17
Arbitrations 0
Civil Events 0
Total 17

Counts for State Street Global Advisors Funds Distributors, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 17 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Boston, MA
CRD Number
30107

Regulator-heavy mix

State Street Global Advisors Funds Distributors, LLC in the heavier-disclosure third

State Street Global Advisors Funds Distributors, LLC carries 17 BrokerCheck disclosures across 6 branch offices - a heavier-third raw book among graded firms (#396 of 20,055). Regulator-initiated events are 100% of the book (17 regulatory / 0 arbitration / 0 civil).

100% of State Street Global Advisors Funds Distributors, LLC's 17 disclosures are regulator-initiated (17 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of State Street Global Advisors Funds Distributors, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Massachusetts cohort · 5.95× state average

State Street Global Advisors Funds Distributors, LLC sits above the Massachusetts disclosure average

State Street Global Advisors Funds Distributors, LLC reports 17 BrokerCheck disclosures, 5.95× the Massachusetts average of 2.9 across 98 graded firms with a principal-office state on file.

In Massachusetts, 64 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 Massachusetts state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does State Street Global Advisors Funds Distributors, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, State Street Global Advisors Funds Distributors, LLC ranks #396 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #6 of 98 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 D mean for State Street Global Advisors Funds Distributors, LLC?
A grade of D reflects State Street Global Advisors Funds Distributors, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 17 total disclosures across 6 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does State Street Global Advisors Funds Distributors, LLC have?
State Street Global Advisors Funds Distributors, LLC has 17 total FINRA disclosures, including 17 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is State Street Global Advisors Funds Distributors, LLC?
State Street Global Advisors Funds Distributors, LLC operates 6 branch offices and is classified by FINRA as a medium firm, registered in MA (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 State Street Global Advisors Funds Distributors, LLC's disciplinary record?
You can verify State Street Global Advisors Funds Distributors, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 30107. 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). State Street Global Advisors Funds Distributors, LLC's 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid State Street Global Advisors Funds Distributors, 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. State Street Global Advisors Funds Distributors, LLC carries 17 disclosures across 6 branch offices (about 2.83 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 State Street Global Advisors Funds Distributors, LLC, both outside MA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Rothschild Investment LLC (IL) - 2.83 disclosures/office, nearest small firm peer to State Street Global Advisors Funds Distributors, LLC's 2.83
  • BNY Mellon Capital Markets, LLC (NY) - 2.89 disclosures/office, nearest small firm peer to State Street Global Advisors Funds Distributors, LLC's 2.83
  • Intercoastal Capital Markets, Inc. (FL) - 2.75 disclosures/office, nearest small firm peer to State Street Global Advisors Funds Distributors, LLC's 2.83
  • Firms in MA - state roster that includes State Street Global Advisors Funds Distributors, LLC's registration home.
  • Red Flags in Advisor Records - How to read State Street Global Advisors Funds Distributors, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 17 disclosures behind State Street Global Advisors Funds Distributors, LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as State Street Global Advisors Funds Distributors, LLC.
  • Compare firms - put State Street Global Advisors Funds Distributors, 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.