BACKSTROM MCCARLEY BERRY & CO., LLC — FINRA BrokerCheck Disciplinary Record

What the Record Says About BACKSTROM MCCARLEY BERRY & CO., LLC

BACKSTROM MCCARLEY BERRY & CO., LLC (Limited Liability Company, CRD# 124503 · SEC# 65679 · SAN FRANCISCO, CA) reports 1 advisor across 2 branches — Small tier, scope ACTIVE.

BrokerCheck shows 0 disclosures (0.0% per-advisor rate): 0 regulatory, 0 customer-complaint, 0 arbitration, 0 civil. Letter grade A (5/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a high disclosure rate relative to advisor headcount is a signal worth examining before you hire. Compare the per-advisor rate above against firms of similar size, and read each disclosure's underlying detail on the official record rather than relying on the headline count alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.