State BrokerCheck inventory · July 2026

Louisiana broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Louisiana ranks #35 of 56 by registered-firm inventory (8) and #37 of 56 by aggregate disclosure load (19). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#35
of 56 by firm inventory
8
registered firms
19
disclosures on file
3
Grade-A clean record

Louisiana at a glance

According to FINRA BrokerCheck as of July 2026, Louisiana ranks #35 of 56 by registered-firm inventory (8) and #37 of 56 by aggregate disclosure load (19). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#35 of 56
registered-firm inventory
#37 of 56
aggregate disclosure load
19
total disclosures statewide
3
with a clean record (Grade A)

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.

Firm-size mix among 8 graded firms

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

8
Registered Firms
3
Clean Record (Grade A)
19
Total Disclosures
2.4
Avg Disclosures / Firm

Grade Distribution

How Louisiana's 8 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (3)3 firmsB, low (3)3 firmsC, typical (2)2 firmsD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 8 graded firms headquartered in Louisiana

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1Johnson Rice & Company L.L.C.New Orleans92C
2Hancock Whitney Investment Services Inc.New Orleans43B
3Capital ONE Securities, Inc.New Orleans312C
4Sisung Securities CorporationMetairie23B
5Harger and Company, Inc.Baton Rouge13B
6AMS Brokerage Services LLCBaton Rouge02A
7Chaffe Securities, Inc.New Orleans02A
8Legacy Capital Fund, Inc.Metairie02A

Mid-pack BrokerCheck profile

What BrokerCheck shows for Louisiana

Louisiana registers 8 firms with 19 disclosures as of July 2026.

According to FINRA BrokerCheck as of July 2026, Louisiana ranks #35 of 56 by registered-firm inventory (8) and #37 of 56 by aggregate disclosure load (19). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Graded inventory: 3 A / 3 B / 2 C / 0 D / 0 F (37.5% clean, 0.0% D or F). Largest disclosure count in-state: Johnson Rice & Company L.L.C. (9 events, Grade C).

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 Louisiana sit among states by BrokerCheck disclosure load?
According to FINRA BrokerCheck as of July 2026, Louisiana ranks #35 of 56 by registered-firm inventory (8) and #37 of 56 by aggregate disclosure load (19). 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 Louisiana?
Louisiana has 8 actively registered broker-dealer firms on FINRA BrokerCheck, of which 3 (37.5%) hold a clean Grade-A record with no reportable disclosures.
Which Louisiana broker-dealer has the most FINRA disclosures?
Johnson Rice & Company L.L.C. leads Louisiana's listing with 9 BrokerCheck disclosures across 2 offices (Grade C). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Louisiana's safety grades?
Grades for Louisiana 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 Louisiana broker data?
Yes. Louisiana'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 Louisiana 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 Louisiana. Louisiana ranks #35 by firm inventory and #37 by disclosure load in the PlainAdvisorCheck extract as of July 2026.