State BrokerCheck inventory · July 2026

Maine broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Maine ranks #24 of 56 by registered-firm inventory (21) and #42 of 56 by aggregate disclosure load (9), then #33 of 33 on disclosures-per-firm and #1 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.

#24
of 56 by firm inventory
21
registered firms
9
disclosures on file
0.4
avg disclosures / firm

Maine at a glance

According to FINRA BrokerCheck as of July 2026, Maine ranks #24 of 56 by registered-firm inventory (21) and #42 of 56 by aggregate disclosure load (9), then #33 of 33 on disclosures-per-firm and #1 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.

#24 of 56
registered-firm inventory
#42 of 56
aggregate disclosure load
#33 of 33
disclosures per firm (≥10 firms)
#1 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 Maine 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.

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

Size-normalized disclosure intensity · FINRA BrokerCheck extract

0 a lower disclosures-per-firm load than 0% 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. Maine 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 21 graded firms

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

21
Registered Firms
16
Clean Record (Grade A)
9
Total Disclosures
0.4
Avg Disclosures / Firm

Grade Distribution

How Maine's 21 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (16)16 firmsB, low (5)5 firmsC, typical (0)0 firmsD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 21 graded firms headquartered in Maine

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1Maine Securities CorporationPortland34B
2Foreside Distribution Services, L.P.Portland212B
3Funds Distributor, LLCPortland223B
4Creatis Capital LLCCape Elizabeth12B
5Parnassus Funds Distributor, LLCPortland113B
6BFY Securities, LLCCamden02A
7Distribution Services, LLCPortland023A
8Foreside Financial Services, LLCPortland079A
9Foreside Fund Services, LLCPortland0248A
10Foreside Funds Distributors LLCPortland028A
11Foreside Global Services, LLCPortland017A
12Imst Distributors, LLCPortland029A
13M.J. Grossnickle, LLCDamariscotta01A
14MGI Funds Distributors, LLCPortland047A
15Northern Funds Distributors, LLCPortland09A
16Orbis Investments (U.S.), LLCPortland06A
17Perpetual Americas Funds Distributors, LLCPortland014A
18Quasar Distributors, LLCPortland068A
19Richard Brothers SecuritiesSouth Portland02A
20Smead Funds Distributors, LLCPortland08A
21Sterling Capital Distributors, LLCPortland023A

Lower disclosures per firm

Maine's lighter disclosure load

Maine ranks #33 of 33 on disclosures-per-firm (0.4) - cooler third among ≥10-firm states.

Maine's aggregate BrokerCheck book ranks #42 of 56 (9 disclosures) - lighter third on the /states load board. Grade-A share is 76.2% (16 of 21 graded) - cleaner third among floor-qualified states; D/F share is 0.0%. Largest disclosure count in-state: Maine Securities Corporation (3 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 Maine sit among states by BrokerCheck disclosure load?
Maine is in the lighter third by aggregate disclosure load (#42 of 56, 9 events) while inventory ranks #24 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in Maine?
Maine has 21 actively registered broker-dealer firms on FINRA BrokerCheck, of which 16 (76.2%) hold a clean Grade-A record with no reportable disclosures.
Which Maine broker-dealer has the most FINRA disclosures?
Maine Securities Corporation leads Maine's listing with 3 BrokerCheck disclosures across 4 offices (Grade B). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Maine's safety grades?
On Maine'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 Maine broker data?
Yes. Maine'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 Maine 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 Maine. Maine ranks #24 by firm inventory and #42 by disclosure load in the PlainAdvisorCheck extract as of July 2026.