State BrokerCheck inventory · July 2026

Rhode Island broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Rhode Island ranks #40 of 56 by registered-firm inventory (7) and #15 of 56 by aggregate disclosure load (219). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#40
of 56 by firm inventory
7
registered firms
219
disclosures on file
1
Grade-A clean record

Rhode Island at a glance

According to FINRA BrokerCheck as of July 2026, Rhode Island ranks #40 of 56 by registered-firm inventory (7) and #15 of 56 by aggregate disclosure load (219). Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#40 of 56
registered-firm inventory
#15 of 56
aggregate disclosure load
219
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 7 graded firms

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

7
Registered Firms
1
Clean Record (Grade A)
219
Total Disclosures
31.3
Avg Disclosures / Firm

Grade Distribution

How Rhode Island's 7 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (1)1 firmB, low (2)2 firmsC, typical (3)3 firmsD, elevated (1)1 firmF, heaviest (0)0 firms
Grade breakdown of 7 graded firms headquartered in Rhode Island

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1Fidelity Brokerage Services LLCSmithfield152739C
2Citizens Securities, Inc.Johnston221,046B
3Fidelity Distributors Company LLCSmithfield2019C
4Barrett & CompanyProvidence173D
5Brown, Lisle/Cummings, Inc.Providence73C
6Gramercy Securities, Inc.Charlestown13B
7Diversified Resources, LLCWarwick03A

Heavy aggregate disclosure load

Rhode Island in the sparser-inventory third

Rhode Island ranks #15 of 56 by aggregate BrokerCheck disclosures (219 events).

Rhode Island sits in the sparser third by registered-firm inventory (#40 of 56, 7 firms) as of July 2026. Graded inventory: 1 A / 2 B / 3 C / 1 D / 0 F (14.3% clean, 14.3% D or F). The top listing is Fidelity Brokerage Services LLC (152 disclosures, Grade C).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - large multistate HQs in Rhode Island can lift statewide totals without describing every local office. 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 Rhode Island sit among states by BrokerCheck disclosure load?
Rhode Island is in the heavier third by aggregate disclosure load (#15 of 56, 219 events) while inventory ranks #40 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in Rhode Island?
Rhode Island registers 7 BrokerCheck firms (#40 sparser-third inventory). 1 (14.3%) hold a clean Grade-A record.
Which Rhode Island broker-dealer has the most FINRA disclosures?
Fidelity Brokerage Services LLC leads Rhode Island's listing with 152 BrokerCheck disclosures across 739 offices (Grade C). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Rhode Island's safety grades?
On Rhode Island's heavier-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 Rhode Island broker data?
Yes. Rhode Island'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 Rhode Island 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 Rhode Island. Rhode Island ranks #40 by firm inventory and #15 by disclosure load in the PlainAdvisorCheck extract as of July 2026.