Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #16999 · FINRA BrokerCheck + SEC IAPD
Banc ONE Securities Corporation
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Banc ONE Securities Corporation ranks #439 of 20,055 by disclosure count (most disclosures first). Banc ONE Securities Corporation carries 15 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 15
- disclosures
- #439 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 16999 Banc ONE Securities Corporation
Banc ONE Securities Corporation · Grade D · 15 disc · 15.00/office · Single-office firm
- CRD 16999
- GRADE D
- DISC 15
- REG 6
- ARB 9
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #439 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: A.B. Watley, Inc. (15.00 disc/office)
Banc ONE Securities Corporation ranks #439 of 20,055 by disclosure count among graded broker-dealers; heavy load at 15.00 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
15 events
On FINRA BrokerCheck
Regulatory events
6 actions
40% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 6 |
| Arbitrations | 9 |
| Civil Events | 0 |
| Total | 15 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 6 Arbitration 9 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 16999
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Banc ONE Securities Corporation
Banc ONE Securities Corporation (broker-dealer, CRD# 16999) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 15 disclosures as of July 2026: 6 regulatory (40%), 9 arbitration, 0 civil. Letter grade D (2/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Banc ONE Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Banc ONE Securities Corporation ranks #439 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 Banc ONE Securities Corporation?
A grade of D reflects Banc ONE Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 15 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Banc ONE Securities Corporation have?
Banc ONE Securities Corporation has 15 total FINRA disclosures, including 6 regulatory events, 9 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Banc ONE Securities Corporation?
Banc ONE Securities Corporation 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 ONE Securities Corporation's disciplinary record?
You can verify Banc ONE Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16999. 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 Banc ONE Securities Corporation 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 ONE Securities Corporation carries 15 disclosures across 0 branch offices (about 15.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- A.B. Watley, Inc. - 15.00 disclosures/office, nearest single-office firm peer to Banc ONE Securities Corporation's 15.00
- ALL-Tech Direct, Inc. - 15.00 disclosures/office, nearest single-office firm peer to Banc ONE Securities Corporation's 15.00
- Bowling Green Securities, Inc. - 15.00 disclosures/office, nearest single-office firm peer to Banc ONE Securities Corporation's 15.00
- Red Flags in Advisor Records - How to read Banc ONE Securities Corporation's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 15 disclosures behind Banc ONE Securities Corporation's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Banc ONE Securities Corporation.
- Compare firms - put Banc ONE Securities Corporation next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.