Branch offices
0 offices
FINRA: Small firm
CRD #15708 · FINRA BrokerCheck + SEC IAPD
Concourse Financial Group Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Concourse Financial Group Securities, Inc. ranks #66 of 20,055 by disclosure count (most disclosures first). Concourse Financial Group Securities, Inc. carries 69 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 69
- disclosures
- #66 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 15708 Concourse Financial Group Securities, Inc.
Concourse Financial Group Securities, Inc. · Grade F · 69 disc · 69.00/office · Single-office firm
- CRD 15708
- GRADE F
- DISC 69
- REG 64
- ARB 5
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #66 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: J.J.B. Hilliard, W.L. Lyons, LLC (67.00 disc/office)
Concourse Financial Group Securities, Inc. ranks #66 of 20,055 by disclosure count among graded broker-dealers; heavy load at 69.00 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
69 events
On FINRA BrokerCheck
Regulatory events
64 actions
93% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 64 |
| Arbitrations | 5 |
| Civil Events | 0 |
| Total | 69 |
Counts for Concourse Financial Group Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 64 Arbitration 5 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 15708
Regulator-heavy mix
Concourse Financial Group Securities, Inc. in the heavier-disclosure third
Concourse Financial Group Securities, Inc. carries 69 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#66 of 20,055). Regulator-initiated events are 93% of the book (64 regulatory / 5 arbitration / 0 civil).
93% of Concourse Financial Group Securities, Inc.'s 69 disclosures are regulator-initiated (64 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Concourse Financial Group Securities, 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 Concourse Financial Group Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Concourse Financial Group Securities, Inc. ranks #66 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 Concourse Financial Group Securities, Inc.?
A grade of F reflects Concourse Financial Group Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 69 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Concourse Financial Group Securities, Inc. have?
Concourse Financial Group Securities, Inc. has 69 total FINRA disclosures, including 64 regulatory events, 5 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Concourse Financial Group Securities, Inc.?
Concourse Financial Group Securities, 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 Concourse Financial Group Securities, Inc.'s disciplinary record?
You can verify Concourse Financial Group Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 15708. 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). Concourse Financial Group Securities, Inc.'s 69 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Concourse Financial Group Securities, 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. Concourse Financial Group Securities, Inc. carries 69 disclosures across 0 branch offices (about 69.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- J.J.B. Hilliard, W.L. Lyons, LLC - 67.00 disclosures/office, nearest single-office firm peer to Concourse Financial Group Securities, Inc.'s 69.00
- J.P. Morgan Clearing Corp. - 67.00 disclosures/office, nearest single-office firm peer to Concourse Financial Group Securities, Inc.'s 69.00
- Legg Mason Wood Walker, Incorporated - 71.00 disclosures/office, nearest single-office firm peer to Concourse Financial Group Securities, Inc.'s 69.00
- Red Flags in Advisor Records - How to read Concourse Financial Group Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 69 disclosures behind Concourse Financial Group Securities, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Concourse Financial Group Securities, Inc..
- Compare firms - put Concourse Financial Group Securities, 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.