State BrokerCheck inventory · July 2026

Puerto Rico broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Puerto Rico ranks #30 of 56 by registered-firm inventory (16) and #30 of 56 by aggregate disclosure load (34), then #22 of 33 on disclosures-per-firm and #5 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.

#30
of 56 by firm inventory
16
registered firms
34
disclosures on file
2.1
avg disclosures / firm

Puerto Rico at a glance

According to FINRA BrokerCheck as of July 2026, Puerto Rico ranks #30 of 56 by registered-firm inventory (16) and #30 of 56 by aggregate disclosure load (34), then #22 of 33 on disclosures-per-firm and #5 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.

#30 of 56
registered-firm inventory
#30 of 56
aggregate disclosure load
#22 of 33
disclosures per firm (≥10 firms)
#5 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 Puerto Rico 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.

Puerto Rico vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

2 a lower disclosures-per-firm load than 33% 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. Puerto Rico 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 Puerto Rico. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

16
Registered Firms
11
Clean Record (Grade A)
34
Total Disclosures
2.1
Avg Disclosures / Firm

Grade Distribution

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

A, clean (11)11 firmsB, low (4)4 firmsC, typical (1)1 firmD, elevated (0)0 firmsF, heaviest (0)0 firms
Grade breakdown of 16 graded firms headquartered in Puerto Rico

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1Popular Securities, LLCSan Juan1218B
2Oriental Financial Services LLCSan Juan116B
3Pariter Securities, LLCGuaynabo62C
4First Southern, LLCGuaynabo45B
5Mckenzie Securities LLCGuaynabo13B
616 Points LLCVega Alta02A
7Colonnade Island LLCRio Grande02A
8Comcap Holdings LLCSan Juan02A
9Cuatro Capital Securities LLCSan Juan03A
10Gamma Securities, LLCSan Juan02A
11IB Capital LLCSan Juan03A
12Joseph Capital, LLCSan Juan02A
13Palmas SecuritiesHumacao02A
14Pantek Securities LLCSan Juan03A
15Robus Capital Partners LLCSan Juan02A
16Universal Financial Services Inc.Guaynabo04A

High Grade-A share

What BrokerCheck shows for Puerto Rico

Puerto Rico ranks #5 of 33 on Grade-A share (68.8% clean) among ≥10-firm states.

According to FINRA BrokerCheck as of July 2026, Puerto Rico ranks #30 of 56 by registered-firm inventory (16) and #30 of 56 by aggregate disclosure load (34), then #22 of 33 on disclosures-per-firm and #5 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 68.8% (11 of 16 graded) - cleaner third among floor-qualified states; D/F share is 0.0%. Largest disclosure count in-state: Popular Securities, LLC (12 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 Puerto Rico sit among states by BrokerCheck disclosure load?
According to FINRA BrokerCheck as of July 2026, Puerto Rico ranks #30 of 56 by registered-firm inventory (16) and #30 of 56 by aggregate disclosure load (34), then #22 of 33 on disclosures-per-firm and #5 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 Puerto Rico?
Puerto Rico has 16 actively registered broker-dealer firms on FINRA BrokerCheck, of which 11 (68.8%) hold a clean Grade-A record with no reportable disclosures.
Which Puerto Rico broker-dealer has the most FINRA disclosures?
Popular Securities, LLC leads Puerto Rico's listing with 12 BrokerCheck disclosures across 18 offices (Grade B). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Puerto Rico's safety grades?
Grades for Puerto Rico 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 Puerto Rico broker data?
Yes. Puerto Rico'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 Puerto Rico 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 Puerto Rico. Puerto Rico ranks #30 by firm inventory and #30 by disclosure load in the PlainAdvisorCheck extract as of July 2026.