Branch offices
2 offices
FINRA: Small firm
CRD #38041 · FINRA BrokerCheck + SEC IAPD
Sterling Smith Corporation
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sterling Smith Corporation ranks #17,772 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #176 of 189 on the same disclosure sort used on the state browse page. Sterling Smith Corporation has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #17,772 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 38041 Sterling Smith Corporation
Sterling Smith Corporation · Grade A · 0 disc · 0.00/office · Small firm
- CRD 38041
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #17,772 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Sterling Smith Corporation ranks #17,772 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
Sterling Smith Corporation has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Houston, TX, 77007
- Formed
- 01/25/1995
- State of Formation
- Texas
- CRD Number
- 38041
- SEC Number
- 48058
Clean BrokerCheck surface
Sterling Smith Corporation's clean BrokerCheck surface
Sterling Smith Corporation shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Sterling Smith Corporation shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Sterling Smith Corporation's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Texas cohort · 0.00× state average
Sterling Smith Corporation sits below the Texas disclosure average
Sterling Smith Corporation reports 0 BrokerCheck disclosures, 0.00× the Texas average of 4.0, lighter than most of the 189 graded firms filed there.
In Texas, 110 firms carry Grade A and 1 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 Texas state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Sterling Smith Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sterling Smith Corporation ranks #17,772 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #176 of 189 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 A mean for Sterling Smith Corporation?
A grade of A means Sterling Smith Corporation has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Sterling Smith Corporation have?
Sterling Smith Corporation has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sterling Smith Corporation?
Sterling Smith Corporation operates 2 branch offices and is classified by FINRA as a small firm, registered in TX (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 Sterling Smith Corporation's disciplinary record?
You can verify Sterling Smith Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 38041. 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 BrokerCheck record. Sterling Smith Corporation currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Sterling Smith Corporation's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Sterling Smith Corporation's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Sterling Smith Corporation's 0.00
- Firms in TX - state roster that includes Sterling Smith Corporation's registration home.
- How to Vet a Financial Advisor - Use Sterling Smith Corporation's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Sterling Smith Corporation's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Sterling Smith Corporation.
- Compare firms - put Sterling Smith Corporation next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.