CRD #35545 · FINRA BrokerCheck + SEC IAPD

Advanced Equities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Advanced Equities, Inc. ranks #504 of 20,055 by disclosure count (most disclosures first). Advanced Equities, Inc. carries 13 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
13
disclosures
#504 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 35545 Advanced Equities, Inc.

Advanced Equities, Inc. · Grade D · 13 disc · 13.00/office · Single-office firm

  • CRD 35545
  • GRADE D
  • DISC 13
  • REG 9
  • ARB 4
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #504 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Barrett Securities Inc. (13.00 disc/office)

Barrett Securities Inc.13.00Burlington Capital Mark…13.00Capwest Securities, Inc.13.00Advanced Equities, … (this)13.00
Disclosures per office among single-office firm peers (lower is cleaner)

Advanced Equities, Inc. ranks #504 of 20,055 by disclosure count among graded broker-dealers; heavy load at 13.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

9 actions

69% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 9
Arbitrations 4
Civil Events 0
Total 13

Counts for Advanced Equities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 9 Arbitration 4 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
35545

Heavy disclosure book

Advanced Equities, Inc. in the heavier-disclosure third

Advanced Equities, Inc. carries 13 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#504 of 20,055). Regulator-initiated events are 69% of the book (9 regulatory / 4 arbitration / 0 civil).

Advanced Equities, Inc. ranks #504 of 20,055 by BrokerCheck disclosure count among graded firms (13 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Advanced Equities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Advanced Equities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Advanced Equities, Inc. ranks #504 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Advanced Equities, Inc.?
A grade of D reflects Advanced Equities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 13 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Advanced Equities, Inc. have?
Advanced Equities, Inc. has 13 total FINRA disclosures, including 9 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Advanced Equities, Inc.?
Advanced Equities, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Advanced Equities, Inc.'s disciplinary record?
You can verify Advanced Equities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 35545. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Advanced Equities, Inc.'s 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Advanced Equities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Advanced Equities, Inc. carries 13 disclosures across 0 branch offices (about 13.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.