Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #107887 · FINRA BrokerCheck + SEC IAPD
Three Rivers Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Three Rivers Securities LLC ranks #18,539 of 20,055 by disclosure count (most disclosures first). Three Rivers Securities LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 0
- branch offices
- 0
- disclosures
- #18,539 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 107887 Three Rivers Securities LLC
Three Rivers Securities LLC · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 107887
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #18,539 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Three Rivers Securities LLC ranks #18,539 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
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 0 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 107887
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Three Rivers Securities LLC
Three Rivers Securities LLC (broker-dealer, CRD# 107887) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 0 disclosures as of July 2026: 0 regulatory (0%), 0 arbitration, 0 civil. Letter grade A (5/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Three Rivers Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Three Rivers Securities LLC ranks #18,539 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 A mean for Three Rivers Securities LLC?
A grade of A means Three Rivers Securities LLC 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 Three Rivers Securities LLC have?
Three Rivers Securities LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Three Rivers Securities LLC?
Three Rivers Securities 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 Three Rivers Securities LLC's disciplinary record?
You can verify Three Rivers Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 107887. 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.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Three Rivers Securities LLC's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Three Rivers Securities LLC's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Three Rivers Securities LLC's 0.00
- How to Vet a Financial Advisor - Use Three Rivers Securities LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Three Rivers Securities LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Three Rivers Securities LLC.
- Compare firms - put Three Rivers Securities LLC next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.