CRD #26506 · FINRA BrokerCheck + SEC IAPD

American Enterprise Investment Services Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, American Enterprise Investment Services Inc. ranks #656 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #8 of 42 on the same disclosure sort used on the state browse page. American Enterprise Investment Services Inc. carries 10 BrokerCheck disclosures across 11 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
11
branch offices
10
disclosures
#656 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 26506 American Enterprise Investment Services Inc.

American Enterprise Investment Services Inc. · Grade C · 10 disc · 0.91/office · Regional firm

  • CRD 26506
  • GRADE C
  • DISC 10
  • REG 10
  • ARB 0
  • CIV 0
  • BRANCH 11
  • PER-OFF 0.91
  • RANK #656 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: THE OAK Ridge Financial Services Group, Inc. (0.91 disc/office)

THE OAK Ridge Financial…0.91Nationwide Securities, LLC0.87Scotia Capital (USA) Inc.0.82American Enterprise… (this)0.91
Disclosures per office among regional firm peers (lower is cleaner)

American Enterprise Investment Services Inc. ranks #656 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.91 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

11 offices

FINRA: Medium firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

10 actions

100% of all disclosures

Disclosures per office

0.91 per office

10 ÷ 11 offices

American Enterprise Investment Services Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 35% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. 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 · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 0
Civil Events 0
Total 10

Counts for American Enterprise Investment Services Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Minneapolis, MN
CRD Number
26506

Regulator-heavy mix

American Enterprise Investment Services Inc. in the heavier-disclosure third

American Enterprise Investment Services Inc. carries 10 BrokerCheck disclosures across 11 branch offices - a heavier-third raw book among graded firms (#656 of 20,055). Regulator-initiated events are 100% of the book (10 regulatory / 0 arbitration / 0 civil).

100% of American Enterprise Investment Services Inc.'s 10 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Minnesota cohort · 0.76× state average

American Enterprise Investment Services Inc. tracks near the Minnesota disclosure average

American Enterprise Investment Services Inc. reports 10 BrokerCheck disclosures, about 0.76× the Minnesota average of 13.1 across 42 graded firms.

In Minnesota, 18 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does American Enterprise Investment Services Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, American Enterprise Investment Services Inc. ranks #656 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #8 of 42 on the same disclosure sort used on the state browse page. 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 C mean for American Enterprise Investment Services Inc.?
A grade of C reflects American Enterprise Investment Services Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 10 total disclosures across 11 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does American Enterprise Investment Services Inc. have?
American Enterprise Investment Services Inc. has 10 total FINRA disclosures, including 10 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is American Enterprise Investment Services Inc.?
American Enterprise Investment Services Inc. operates 11 branch offices and is classified by FINRA as a medium firm, registered in MN (Regional 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 American Enterprise Investment Services Inc.'s disciplinary record?
You can verify American Enterprise Investment Services Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 26506. 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). American Enterprise Investment Services Inc.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid American Enterprise Investment Services 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. American Enterprise Investment Services Inc. carries 10 disclosures across 11 branch offices (about 0.91 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for American Enterprise Investment Services Inc., both outside MN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • THE OAK Ridge Financial Services Group, Inc. (MN) - 0.91 disclosures/office, nearest regional firm peer to American Enterprise Investment Services Inc.'s 0.91
  • Nationwide Securities, LLC (OH) - 0.87 disclosures/office, nearest regional firm peer to American Enterprise Investment Services Inc.'s 0.91
  • Scotia Capital (USA) Inc. (NY) - 0.82 disclosures/office, nearest regional firm peer to American Enterprise Investment Services Inc.'s 0.91
  • Firms in MN - state roster that includes American Enterprise Investment Services Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like American Enterprise Investment Services Inc..
  • Reading BrokerCheck Reports - How American Enterprise Investment Services Inc.'s 0.91 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to American Enterprise Investment Services Inc..
  • Compare firms - put American Enterprise Investment Services Inc. 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.