PlainAdvisorCheck is a free informational resource that makes public FINRA BrokerCheck and SEC enforcement data easier to read. It is not investment advice and does not certify any firm as safe or unsafe. Use it as a starting point for your own due diligence, not as the final word on whom to trust with your money.

Informational only, not investment advice

Nothing on PlainAdvisorCheck constitutes investment, legal, or professional advice, and using the site does not create any professional relationship. Decisions about which broker-dealer or financial advisor to engage can have real financial consequences. For guidance about your situation, consult a qualified, independent professional. For the official, complete disciplinary record, rely on FINRA BrokerCheck directly before you act.

What a safety grade is, and is not

The A–F safety grade on PlainAdvisorCheck is a size-normalized editorial signal derived from public disclosure history — not a regulatory rating, an endorsement, or a prediction of future conduct. A disclosure is a reported event, not a proven violation: it can range from a customer complaint that was dismissed to a formal regulatory sanction, and its presence does not establish wrongdoing. A firm's grade reflects its disclosure intensity relative to same-size peers at the time of our most recent data refresh; it does not measure the conduct of any individual advisor at the firm, and a strong firm-level grade does not guarantee that every representative has a clean record. Always review the specific disclosures and the individual advisor on BrokerCheck.

Data freshness and accuracy

FINRA updates BrokerCheck on a rolling basis and newly reported disclosures can take 30 to 90 days to appear publicly, so the figures on a page reflect the most recent official export we have loaded and may lag a very recent event. Some firms carry no grade or limited data because the source reports little about them, and the absence of a disclosure does not by itself prove a clean compliance culture. We work to keep the data accurate and aligned with the source, but we cannot guarantee it is complete, current, or free of upstream limitations. If you spot a figure that looks wrong, please report it through our corrections process.

Before you choose an advisor or firm

Treat PlainAdvisorCheck as one input among several. Before you act on what you read here, we recommend you also:

• Check the firm and the individual advisor directly on the official FINRA BrokerCheck tool, which is authoritative for the current record.
• Read the underlying detail of any disclosure rather than relying on the headline count — its nature and outcome matter more than the number.
• Confirm the advisor's registration, licenses, and the services they are authorized to provide.
• Ask the advisor directly about anything on their record before making a decision.

No affiliation

PlainAdvisorCheck is an independent publisher. It is not affiliated with, endorsed by, or operated by FINRA, the Securities and Exchange Commission, or any broker-dealer, advisory firm, or government agency. Outbound links to official sources are provided for verification and do not imply any partnership.

Questions

Questions about how to use this data, or about a specific figure, are welcome at hello@plainadvisorcheck.com. See also our editorial & corrections policy and methodology.