CRD #1464 · FINRA BrokerCheck + SEC IAPD

Associated Investment Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Associated Investment Services, Inc. ranks #1,613 of 20,055 by disclosure count (most disclosures first). Among firms registered in WI, it ranks #4 of 23 on the same disclosure sort used on the state browse page. Associated Investment Services, Inc. carries 4 BrokerCheck disclosures across 45 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
45
branch offices
4
disclosures
#1,613 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1464 Associated Investment Services, Inc.

Associated Investment Services, Inc. · Grade B · 4 disc · 0.09/office · Mid-sized firm

  • CRD 1464
  • GRADE B
  • DISC 4
  • REG 2
  • ARB 2
  • CIV 0
  • BRANCH 45
  • PER-OFF 0.09
  • RANK #1,613 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Securities Management & Research, Inc. (0.09 disc/office)

Securities Management &…0.09Funds Distributor, LLC0.09Invesco Distributors, Inc.0.09Associated Investme… (this)0.09
Disclosures per office among mid-sized firm peers (lower is cleaner)

Associated Investment Services, Inc. ranks #1,613 of 20,055 by disclosure count among graded broker-dealers; light load at 0.09 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

45 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

2 actions

50% of all disclosures

Disclosures per office

0.09 per office

4 ÷ 45 offices

Associated Investment Services, Inc. vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 88% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 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 2
Arbitrations 2
Civil Events 0
Total 4

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

Disclosure category share

Regulatory 2 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Green Bay, WI
CRD Number
1464

Lower disclosures per office

Associated Investment Services, Inc. in the heavier-disclosure third

Associated Investment Services, Inc. carries 4 BrokerCheck disclosures across 45 branch offices - a heavier-third raw book among graded firms (#1,613 of 20,055). Mix is 2 regulatory, 2 arbitration, and 0 civil (50% regulator share).

Associated Investment Services, Inc. runs 0.09 disclosures per branch office (cleaner than 88% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Wisconsin cohort · 0.76× state average

Associated Investment Services, Inc. tracks near the Wisconsin disclosure average

Associated Investment Services, Inc. reports 4 BrokerCheck disclosures, about 0.76× the Wisconsin average of 5.3 across 23 graded firms.

In Wisconsin, 7 firms carry Grade A and 0 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 Wisconsin state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Associated Investment Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Associated Investment Services, Inc. ranks #1,613 of 20,055 by disclosure count (most disclosures first). Among firms registered in WI, it ranks #4 of 23 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 B mean for Associated Investment Services, Inc.?
A grade of B reflects Associated Investment Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 4 total disclosures across 45 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Associated Investment Services, Inc. have?
Associated Investment Services, Inc. has 4 total FINRA disclosures, including 2 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Associated Investment Services, Inc.?
Associated Investment Services, Inc. operates 45 branch offices and is classified by FINRA as a small firm, registered in WI (Mid-sized 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 Associated Investment Services, Inc.'s disciplinary record?
You can verify Associated Investment Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1464. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Associated 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. Associated Investment Services, Inc. carries 4 disclosures across 45 branch offices (about 0.09 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 Associated Investment Services, Inc., both outside WI so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Securities Management & Research, Inc. (IA) - 0.09 disclosures/office, nearest mid-sized firm peer to Associated Investment Services, Inc.'s 0.09
  • Funds Distributor, LLC (ME) - 0.09 disclosures/office, nearest mid-sized firm peer to Associated Investment Services, Inc.'s 0.09
  • Invesco Distributors, Inc. (TX) - 0.09 disclosures/office, nearest mid-sized firm peer to Associated Investment Services, Inc.'s 0.09
  • Firms in WI - state roster that includes Associated Investment Services, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Associated Investment Services, Inc..
  • Reading BrokerCheck Reports - How Associated Investment Services, Inc.'s 0.09 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Associated Investment Services, Inc..
  • Compare firms - put Associated 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.