Branch offices
0 offices
FINRA: Small firm
CRD #16361 · FINRA BrokerCheck + SEC IAPD
Banc of America Investment Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Banc of America Investment Services, Inc. ranks #36 of 20,055 by disclosure count (most disclosures first). Banc of America Investment Services, Inc. carries 122 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 122
- disclosures
- #36 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 16361 Banc of America Investment Services, Inc.
Banc of America Investment Services, Inc. · Grade F · 122 disc · 122.00/office · Single-office firm
- CRD 16361
- GRADE F
- DISC 122
- REG 53
- ARB 68
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #36 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Gruntal & Co., L.L.C. (115.00 disc/office)
Banc of America Investment Services, Inc. ranks #36 of 20,055 by disclosure count among graded broker-dealers; heavy load at 122.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
122 events
On FINRA BrokerCheck
Regulatory events
53 actions
43% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 53 |
| Arbitrations | 68 |
| Civil Events | 1 |
| Total | 122 |
Counts for Banc of America Investment Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 53 Arbitration 68 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 16361
Heavy disclosure book
Banc of America Investment Services, Inc. in the heavier-disclosure third
Banc of America Investment Services, Inc. carries 122 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#36 of 20,055). Mix is 53 regulatory, 68 arbitration, and 1 civil (43% regulator share).
Banc of America Investment Services, Inc. ranks #36 of 20,055 by BrokerCheck disclosure count among graded firms (122 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Banc of America Investment Services, Inc.'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 Banc of America Investment Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Banc of America Investment Services, Inc. ranks #36 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 F mean for Banc of America Investment Services, Inc.?
A grade of F reflects Banc of America Investment Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 122 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Banc of America Investment Services, Inc. have?
Banc of America Investment Services, Inc. has 122 total FINRA disclosures, including 53 regulatory events, 68 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Banc of America Investment Services, Inc.?
Banc of America Investment Services, Inc. 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 Banc of America Investment Services, Inc.'s disciplinary record?
You can verify Banc of America Investment Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16361. 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). Banc of America Investment Services, Inc.'s 122 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Banc of America 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. Banc of America Investment Services, Inc. carries 122 disclosures across 0 branch offices (about 122.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Gruntal & Co., L.L.C. - 115.00 disclosures/office, nearest single-office firm peer to Banc of America Investment Services, Inc.'s 122.00
- J.P. Morgan Securities Inc. - 108.00 disclosures/office, nearest single-office firm peer to Banc of America Investment Services, Inc.'s 122.00
- Banc of America Securities LLC - 93.00 disclosures/office, nearest single-office firm peer to Banc of America Investment Services, Inc.'s 122.00
- Red Flags in Advisor Records - How to read Banc of America Investment Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 122 disclosures behind Banc of America Investment Services, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Banc of America Investment Services, Inc..
- Compare firms - put Banc of America 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.
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.