Branch offices
2 offices
FINRA: Small firm
CRD #4038 · FINRA BrokerCheck + SEC IAPD
Balanced Security Planning, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Balanced Security Planning, Inc. ranks #2,572 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #36 of 279 on the same disclosure sort used on the state browse page. Balanced Security Planning, Inc. carries 2 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.
- Grade B
- Safety grade
- 2
- branch offices
- 2
- disclosures
- #2,572 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 4038 Balanced Security Planning, Inc.
Balanced Security Planning, Inc. · Grade B · 2 disc · 1.00/office · Small firm
- CRD 4038
- GRADE B
- DISC 2
- REG 2
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 1.00
- RANK #2,572 of 20,055
- BOOK Small firm
Nearest same-size peer: Access Securities, LLC (1.00 disc/office)
Balanced Security Planning, Inc. ranks #2,572 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 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
Total disclosures
2 events
On FINRA BrokerCheck
Regulatory events
2 actions
100% of all disclosures
Disclosures per office
1.00 per office
2 ÷ 2 offices
Balanced Security Planning, 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 24% of 1,251 disclosing firms
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 | 0 |
| Civil Events | 0 |
| Total | 2 |
Counts for Balanced Security Planning, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 2 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Newport Beach, CA
- CRD Number
- 4038
Regulator-heavy mix
Balanced Security Planning, Inc. in the heavier-disclosure third
Balanced Security Planning, Inc. carries 2 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#2,572 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).
100% of Balanced Security Planning, Inc.'s 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Balanced Security Planning, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
California cohort · 0.98× state average
Balanced Security Planning, Inc. tracks near the California disclosure average
Balanced Security Planning, Inc. reports 2 BrokerCheck disclosures, about 0.98× the California average of 2.1 across 279 graded firms.
In California, 189 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 California state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Balanced Security Planning, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Balanced Security Planning, Inc. ranks #2,572 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #36 of 279 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 Balanced Security Planning, Inc.?
A grade of B reflects Balanced Security Planning, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 2 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Balanced Security Planning, Inc. have?
Balanced Security Planning, Inc. has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Balanced Security Planning, Inc.?
Balanced Security Planning, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in CA (Small 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 Balanced Security Planning, Inc.'s disciplinary record?
You can verify Balanced Security Planning, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 4038. 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 BrokerCheck. For Balanced Security Planning, Inc., the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Balanced Security Planning, 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. Balanced Security Planning, Inc. carries 2 disclosures across 2 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Access Securities, LLC (CT) - 1.00 disclosures/office, nearest small firm peer to Balanced Security Planning, Inc.'s 1.00
- ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to Balanced Security Planning, Inc.'s 1.00
- Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to Balanced Security Planning, Inc.'s 1.00
- Firms in CA - state roster that includes Balanced Security Planning, Inc.'s registration home.
- Red Flags in Advisor Records - How to read Balanced Security Planning, Inc.'s elevated load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 2 disclosures behind Balanced Security Planning, Inc.'s Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Balanced Security Planning, Inc..
- Compare firms - put Balanced Security Planning, 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.
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.