Branch offices
0 offices
FINRA: Small firm
CRD #15427 · FINRA BrokerCheck + SEC IAPD
Ages Financial Services, Ltd.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ages Financial Services, Ltd. ranks #814 of 20,055 by disclosure count (most disclosures first). Ages Financial Services, Ltd. carries 8 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 8
- disclosures
- #814 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 15427 Ages Financial Services, Ltd.
Ages Financial Services, Ltd. · Grade D · 8 disc · 8.00/office · Single-office firm
- CRD 15427
- GRADE D
- DISC 8
- REG 4
- ARB 4
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #814 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Abel/Noser Corp. (8.00 disc/office)
Ages Financial Services, Ltd. ranks #814 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.00 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
Total disclosures
8 events
On FINRA BrokerCheck
Regulatory events
4 actions
50% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 4 |
| Arbitrations | 4 |
| Civil Events | 0 |
| Total | 8 |
Counts for Ages Financial Services, Ltd. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 4 Arbitration 4 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 15427
Heavy disclosure book
Ages Financial Services, Ltd. in the heavier-disclosure third
Ages Financial Services, Ltd. carries 8 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#814 of 20,055). Mix is 4 regulatory, 4 arbitration, and 0 civil (50% regulator share).
Ages Financial Services, Ltd. ranks #814 of 20,055 by BrokerCheck disclosure count among graded firms (8 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Ages Financial Services, Ltd.'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 Ages Financial Services, Ltd. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ages Financial Services, Ltd. ranks #814 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 Ages Financial Services, Ltd.?
A grade of D reflects Ages Financial Services, Ltd.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 8 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Ages Financial Services, Ltd. have?
Ages Financial Services, Ltd. has 8 total FINRA disclosures, including 4 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ages Financial Services, Ltd.?
Ages Financial Services, Ltd. 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 Ages Financial Services, Ltd.'s disciplinary record?
You can verify Ages Financial Services, Ltd.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 15427. 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). Ages Financial Services, Ltd.'s 8 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Ages Financial Services, Ltd. 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. Ages Financial Services, Ltd. carries 8 disclosures across 0 branch offices (about 8.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Abel/Noser Corp. - 8.00 disclosures/office, nearest single-office firm peer to Ages Financial Services, Ltd.'s 8.00
- Agency Trading Group, Inc. - 8.00 disclosures/office, nearest single-office firm peer to Ages Financial Services, Ltd.'s 8.00
- Alexander, Wescott, & Co., Inc. - 8.00 disclosures/office, nearest single-office firm peer to Ages Financial Services, Ltd.'s 8.00
- Red Flags in Advisor Records - How to read Ages Financial Services, Ltd.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 8 disclosures behind Ages Financial Services, Ltd.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Ages Financial Services, Ltd..
- Compare firms - put Ages Financial Services, Ltd. next to peers on grade and footprint.
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.