State BrokerCheck inventory · July 2026

New Mexico broker-dealer grades

According to FINRA BrokerCheck as of July 2026, New Mexico ranks #52 of 56 by registered-firm inventory (1) and #53 of 56 by aggregate disclosure load (0). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#52
of 56 by firm inventory
1
registered firms
0
disclosures on file
1
Grade-A clean record

New Mexico at a glance

According to FINRA BrokerCheck as of July 2026, New Mexico ranks #52 of 56 by registered-firm inventory (1) and #53 of 56 by aggregate disclosure load (0). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#52 of 56
registered-firm inventory
#53 of 56
aggregate disclosure load
0
total disclosures statewide
1
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 1 graded firms

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

1
Registered Firms
1
Clean Record (Grade A)
0
Total Disclosures
0.0
Avg Disclosures / Firm

Grade Distribution

How New Mexico's 1 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (1)1 firmB, low (0)0 firmsC, typical (0)0 firmsD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 1 graded firms headquartered in New Mexico

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1Thornburg Securities LLCSanta Fe05A

Light aggregate disclosure load

New Mexico in the sparser-inventory third

New Mexico ranks #53 of 56 by aggregate BrokerCheck disclosures (0 events) - lighter third.

New Mexico sits in the sparser third by registered-firm inventory (#52 of 56, 1 firms) as of July 2026. Graded inventory: 1 A / 0 B / 0 C / 0 D / 0 F (100.0% clean, 0.0% D or F). The sole listing is Thornburg Securities LLC (0 disclosures, Grade A).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - a thin New Mexico roster means each firm moves the state averages more. 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 New Mexico sit among states by BrokerCheck disclosure load?
New Mexico is in the lighter third by aggregate disclosure load (#53 of 56, 0 events) while inventory ranks #52 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in New Mexico?
New Mexico registers 1 BrokerCheck firms (#52 sparser-third inventory). 1 (100.0%) hold a clean Grade-A record.
Which New Mexico broker-dealer has the most FINRA disclosures?
Thornburg Securities LLC leads New Mexico's listing with 0 BrokerCheck disclosures across 5 offices (Grade A). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read New Mexico's safety grades?
On New Mexico'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 New Mexico broker data?
Yes. New Mexico'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 New Mexico 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 New Mexico. New Mexico ranks #52 by firm inventory and #53 by disclosure load in the PlainAdvisorCheck extract as of July 2026.