Branch offices
0 offices
FINRA: Small firm
CRD #12969 · FINRA BrokerCheck + SEC IAPD
Associated Securities Corp.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Associated Securities Corp. ranks #659 of 20,055 by disclosure count (most disclosures first). Associated Securities Corp. carries 10 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 10
- disclosures
- #659 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 12969 Associated Securities Corp.
Associated Securities Corp. · Grade D · 10 disc · 10.00/office · Single-office firm
- CRD 12969
- GRADE D
- DISC 10
- REG 3
- ARB 7
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #659 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Allen C. Ewing & Co. (10.00 disc/office)
Associated Securities Corp. ranks #659 of 20,055 by disclosure count among graded broker-dealers; heavy load at 10.00 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
10 events
On FINRA BrokerCheck
Regulatory events
3 actions
30% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 3 |
| Arbitrations | 7 |
| Civil Events | 0 |
| Total | 10 |
Counts for Associated Securities Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 3 Arbitration 7 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 10/21/1982
- State of Formation
- California
- CRD Number
- 12969
- SEC Number
- 28568
Heavy disclosure book
Associated Securities Corp. in the heavier-disclosure third
Associated Securities Corp. carries 10 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#659 of 20,055). Mix is 3 regulatory, 7 arbitration, and 0 civil (30% regulator share).
Associated Securities Corp. ranks #659 of 20,055 by BrokerCheck disclosure count among graded firms (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Associated Securities Corp.'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 Associated Securities Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Associated Securities Corp. ranks #659 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 Associated Securities Corp.?
A grade of D reflects Associated Securities Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 10 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Associated Securities Corp. have?
Associated Securities Corp. has 10 total FINRA disclosures, including 3 regulatory events, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Associated Securities Corp.?
Associated Securities Corp. 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 Associated Securities Corp.'s disciplinary record?
You can verify Associated Securities Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 12969. 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). Associated Securities Corp.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Associated Securities Corp. 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 Securities Corp. carries 10 disclosures across 0 branch offices (about 10.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Allen C. Ewing & Co. - 10.00 disclosures/office, nearest single-office firm peer to Associated Securities Corp.'s 10.00
- American Securities BD Co., L.P. - 10.00 disclosures/office, nearest single-office firm peer to Associated Securities Corp.'s 10.00
- Archelon LLC - 10.00 disclosures/office, nearest single-office firm peer to Associated Securities Corp.'s 10.00
- Red Flags in Advisor Records - How to read Associated Securities Corp.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 10 disclosures behind Associated Securities Corp.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Associated Securities Corp..
- Compare firms - put Associated Securities Corp. 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.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.