State BrokerCheck inventory · July 2026

Indiana broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Indiana ranks #29 of 56 by registered-firm inventory (16) and #33 of 56 by aggregate disclosure load (26), then #26 of 33 on disclosures-per-firm and #28 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.

#29
of 56 by firm inventory
16
registered firms
26
disclosures on file
1.6
avg disclosures / firm

Indiana at a glance

According to FINRA BrokerCheck as of July 2026, Indiana ranks #29 of 56 by registered-firm inventory (16) and #33 of 56 by aggregate disclosure load (26), then #26 of 33 on disclosures-per-firm and #28 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.

#29 of 56
registered-firm inventory
#33 of 56
aggregate disclosure load
#26 of 33
disclosures per firm (≥10 firms)
#28 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 Indiana 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.

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

Size-normalized disclosure intensity · FINRA BrokerCheck extract

2 a lower disclosures-per-firm load than 21% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). This entry sits in this band. 2–4: 9 floor-qualified states (27%). Above this entry. 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. Indiana 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 16 graded firms

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

16
Registered Firms
7
Clean Record (Grade A)
26
Total Disclosures
1.6
Avg Disclosures / Firm

Grade Distribution

How Indiana's 16 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (7)7 firmsB, low (9)9 firmsC, typical (0)0 firmsD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 16 graded firms headquartered in Indiana

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1CFD Investments, Inc.Kokomo8104B
2Oneamerica Securities, Inc.Indianapolis6198B
3Dougall & Associates Inc.Saint John33B
4Thurston, Springer, Miller, Herd & Titak, Inc.Indianapolis336B
5EBH Securities, Inc.Indianapolis22B
6Ceres Securities, LLCSouth Bend12B
7Periculum Capital Markets, LLCCarmel12B
8SCH Enterprises, Inc.Brownsburg12B
9Sycamore Financial GroupKokomo16B
10Atis, IncHighland03A
11Fnex Capital, LLCIndianapolis09A
12Kittle Capital Markets, LLCIndianapolis03A
13Merlin's PriestAnderson01A
14Morris Group, Inc.Indianapolis02A
15ONE 2800 Capital Advisors, LLCCarmel02A
16Sealion Capital, LLCIndianapolis02A

Lower Grade-A share

Indiana's cooler per-firm intensity

Indiana ranks #28 of 33 on Grade-A share (43.8% clean) - cloudier third among ≥10-firm states.

Indiana averages 1.6 disclosures per firm (#26 of 33 among ≥10-firm states) - cooler intensity band. Grade-A share is 43.8% (7 of 16 graded) - cloudier third among floor-qualified states; D/F share is 0.0%. Largest disclosure count in-state: CFD Investments, Inc. (8 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 Indiana sit among states by BrokerCheck disclosure load?
According to FINRA BrokerCheck as of July 2026, Indiana ranks #29 of 56 by registered-firm inventory (16) and #33 of 56 by aggregate disclosure load (26), then #26 of 33 on disclosures-per-firm and #28 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 Indiana?
Indiana has 16 actively registered broker-dealer firms on FINRA BrokerCheck, of which 7 (43.8%) hold a clean Grade-A record with no reportable disclosures.
Which Indiana broker-dealer has the most FINRA disclosures?
CFD Investments, Inc. leads Indiana's listing with 8 BrokerCheck disclosures across 104 offices (Grade B). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Indiana's safety grades?
On Indiana's lighter-load board, grades stay size-normalized (weighted disclosures ÷ branch footprint within size class). Zero-disclosure firms earn A. Editorial signals only - not FINRA ratings; see methodology.
Is this official Indiana broker data?
Yes. Indiana'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 Indiana 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 Indiana. Indiana ranks #29 by firm inventory and #33 by disclosure load in the PlainAdvisorCheck extract as of July 2026.