State BrokerCheck inventory · July 2026

Alabama broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Alabama ranks #26 of 56 by registered-firm inventory (17) and #27 of 56 by aggregate disclosure load (40), then #21 of 33 on disclosures-per-firm and #25 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#26
of 56 by firm inventory
17
registered firms
40
disclosures on file
2.4
avg disclosures / firm

Alabama at a glance

According to FINRA BrokerCheck as of July 2026, Alabama ranks #26 of 56 by registered-firm inventory (17) and #27 of 56 by aggregate disclosure load (40), then #21 of 33 on disclosures-per-firm and #25 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#26 of 56
registered-firm inventory
#27 of 56
aggregate disclosure load
#21 of 33
disclosures per firm (≥10 firms)
#25 of 33
Grade-A share (≥10 firms)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Where Alabama sits by disclosures per firm

COUNT-derived placement among 33 states and territories with at least 10 graded firms. Lower intensity is cleaner for residents; large multistate HQs can lift a state's average without describing every local office.

Alabama vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

2 a lower disclosures-per-firm load than 36% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). This entry sits in this band. 4–6: 8 floor-qualified states (24%). Above this entry. 6–8: 1 floor-qualified states (3%). Above this entry. 8–10: 1 floor-qualified states (3%). Above this entry. 10–12: 0 floor-qualified states (0%). Above this entry. 12–14: 2 floor-qualified states (6%). Above this entry. 14–16: 0 floor-qualified states (0%). Above this entry. 16–18: 0 floor-qualified states (0%). Above this entry. 18–20: 1 floor-qualified states (3%). Above this entry. 20–22: 0 floor-qualified states (0%). Above this entry. 22–24: 0 floor-qualified states (0%). Above this entry. 24–26: 0 floor-qualified states (0%). Above this entry. 26–28: 0 floor-qualified states (0%). Above this entry. 28–30: 0 floor-qualified states (0%). Above this entry. 30–32: 0 floor-qualified states (0%). Above this entry. 32–34: 0 floor-qualified states (0%). Above this entry. 34–36: 1 floor-qualified states (3%). Above this entry. Alabama 0 36 every state with ≥10 graded firms, bucketed by value

Each bar is a band; taller bars hold more floor-qualified states. 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 · July 2026

Firm-size mix among 17 graded firms

FINRA BrokerCheck size classes in Alabama. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

17
Registered Firms
8
Clean Record (Grade A)
40
Total Disclosures
2.4
Avg Disclosures / Firm

Grade Distribution

How Alabama's 17 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (8)8 firmsB, low (8)8 firmsC, typical (1)1 firmD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 17 graded firms headquartered in Alabama

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1Stonex Securities Inc.Birmingham13309B
2JOE Jolly & Co., Inc.Birmingham82C
3NBC Securities, Inc.Birmingham643B
4THE Frazer Lanier Company, IncorporatedMontgomery54B
5SCA Development, LLCBirmingham32B
6FNBB Capital Markets, LLCBirmingham24B
7Investment Distributors, Inc.Birmingham110B
8LEC Investment Corp.Birmingham12B
9Thornton Farish Inc.Montgomery12B
10BHK Securities, LLCBirmingham03A
11CRI M&A Advisors, LLCMontgomery04A
12Founders M&A Advisory, LLCBirmingham02A
13Keel Point Capital, LLCHuntsville012A
14Little River Capital, LLCVestavia Hills02A
15Park Place Capital Securities Corp.Homewood02A
16Redmont Capital Markets LLCBirmingham02A
17Vested SecuritiesTuscaloosa02A

Lower Grade-A share

What BrokerCheck shows for Alabama

Alabama ranks #25 of 33 on Grade-A share (47.1% clean) - cloudier third among ≥10-firm states.

According to FINRA BrokerCheck as of July 2026, Alabama ranks #26 of 56 by registered-firm inventory (17) and #27 of 56 by aggregate disclosure load (40), then #21 of 33 on disclosures-per-firm and #25 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Grade-A share is 47.1% (8 of 17 graded) - cloudier third among floor-qualified states; D/F share is 0.0%. Largest disclosure count in-state: Stonex Securities Inc. (13 events, Grade B).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations . This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does Alabama sit among states by BrokerCheck disclosure load?
According to FINRA BrokerCheck as of July 2026, Alabama ranks #26 of 56 by registered-firm inventory (17) and #27 of 56 by aggregate disclosure load (40), then #21 of 33 on disclosures-per-firm and #25 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Aggregate disclosure load is not a judgment of the state's regulators or of any individual firm.
How many broker-dealer firms are registered in Alabama?
Alabama has 17 actively registered broker-dealer firms on FINRA BrokerCheck, of which 8 (47.1%) hold a clean Grade-A record with no reportable disclosures.
Which Alabama broker-dealer has the most FINRA disclosures?
Stonex Securities Inc. leads Alabama's listing with 13 BrokerCheck disclosures across 309 offices (Grade B). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Alabama's safety grades?
Grades for Alabama firms are size-normalized: weighted disclosure load ÷ branch footprint, ranked within size class. Zero-disclosure firms earn A. Editorial signals, not FINRA ratings - see methodology.
Is this official Alabama broker data?
Yes. Alabama's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.
All Alabama Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for Alabama. Alabama ranks #26 by firm inventory and #27 by disclosure load in the PlainAdvisorCheck extract as of July 2026.