Branch offices
0 offices
FINRA: Small firm
CRD #801 · FINRA BrokerCheck + SEC IAPD
Sutro & Co. Incorporated
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sutro & Co. Incorporated ranks #175 of 20,055 by disclosure count (most disclosures first). Sutro & Co. Incorporated carries 32 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 32
- disclosures
- #175 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 801 Sutro & Co. Incorporated
Sutro & Co. Incorporated · Grade F · 32 disc · 32.00/office · Single-office firm
- CRD 801
- GRADE F
- DISC 32
- REG 31
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #175 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Baxter Banks & Smith, Ltd. (32.00 disc/office)
Sutro & Co. Incorporated ranks #175 of 20,055 by disclosure count among graded broker-dealers; heavy load at 32.00 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
Total disclosures
32 events
On FINRA BrokerCheck
Regulatory events
31 actions
97% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 31 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 32 |
Counts for Sutro & Co. Incorporated reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 31 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 801
Regulator-heavy mix
Sutro & Co. Incorporated in the heavier-disclosure third
Sutro & Co. Incorporated carries 32 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#175 of 20,055). Regulator-initiated events are 97% of the book (31 regulatory / 1 arbitration / 0 civil).
97% of Sutro & Co. Incorporated's 32 disclosures are regulator-initiated (31 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Sutro & Co. Incorporated'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 Sutro & Co. Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sutro & Co. Incorporated ranks #175 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 Sutro & Co. Incorporated?
A grade of F reflects Sutro & Co. Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 32 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sutro & Co. Incorporated have?
Sutro & Co. Incorporated has 32 total FINRA disclosures, including 31 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sutro & Co. Incorporated?
Sutro & Co. Incorporated 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 Sutro & Co. Incorporated's disciplinary record?
You can verify Sutro & Co. Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 801. 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). Sutro & Co. Incorporated's 32 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Sutro & Co. Incorporated 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. Sutro & Co. Incorporated carries 32 disclosures across 0 branch offices (about 32.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Baxter Banks & Smith, Ltd. - 32.00 disclosures/office, nearest single-office firm peer to Sutro & Co. Incorporated's 32.00
- Global Execution Brokers, LP (PA) - 32.00 disclosures/office, nearest single-office firm peer to Sutro & Co. Incorporated's 32.00
- Bluestone Capital Corp. - 33.00 disclosures/office, nearest single-office firm peer to Sutro & Co. Incorporated's 32.00
- Red Flags in Advisor Records - How to read Sutro & Co. Incorporated's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 32 disclosures behind Sutro & Co. Incorporated's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Sutro & Co. Incorporated.
- Compare firms - put Sutro & Co. Incorporated 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.