CRD #5864 · FINRA BrokerCheck + SEC IAPD

Darwood Associates Incorporated

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Darwood Associates Incorporated ranks #3,731 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #48 of 114 on the same disclosure sort used on the state browse page. Darwood Associates Incorporated carries 1 BrokerCheck disclosure across 3 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
3
branch offices
1
disclosure
#3,731 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5864 Darwood Associates Incorporated

Darwood Associates Incorporated · Grade B · 1 disc · 0.33/office · Small firm

  • CRD 5864
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 0.33
  • RANK #3,731 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: ABN Amro Capital Markets (USA) LLC (0.33 disc/office)

ABN Amro Capital Market…0.33Accrued Equities Inc.0.33AMG Distributors, Inc.0.33Darwood Associates … (this)0.33
Disclosures per office among small firm peers (lower is cleaner)

Darwood Associates Incorporated ranks #3,731 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.33 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

Branch offices

3 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.33 per office

1 ÷ 3 offices

Darwood Associates Incorporated vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 71% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

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 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Darwood Associates Incorporated reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Hillsborough, NJ
CRD Number
5864

Regulator-heavy mix

Darwood Associates Incorporated in the heavier-disclosure third

Darwood Associates Incorporated carries 1 BrokerCheck disclosure across 3 branch offices - a heavier-third raw book among graded firms (#3,731 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Darwood Associates Incorporated's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Darwood Associates Incorporated's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 0.08× state average

Darwood Associates Incorporated sits below the New Jersey disclosure average

Darwood Associates Incorporated reports 1 BrokerCheck disclosure, 0.08× the New Jersey average of 12.9, lighter than most of the 114 graded firms filed there.

In New Jersey, 50 firms carry Grade A and 2 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 New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Darwood Associates Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Darwood Associates Incorporated ranks #3,731 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #48 of 114 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 Darwood Associates Incorporated?
A grade of B reflects Darwood Associates Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Darwood Associates Incorporated have?
Darwood Associates Incorporated has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Darwood Associates Incorporated?
Darwood Associates Incorporated operates 3 branch offices and is classified by FINRA as a small firm, registered in NJ (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 Darwood Associates Incorporated's disciplinary record?
You can verify Darwood Associates Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5864. 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 Darwood Associates Incorporated 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. Darwood Associates Incorporated carries 1 disclosure across 3 branch offices (about 0.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • ABN Amro Capital Markets (USA) LLC (NY) - 0.33 disclosures/office, nearest small firm peer to Darwood Associates Incorporated's 0.33
  • Accrued Equities Inc. (NY) - 0.33 disclosures/office, nearest small firm peer to Darwood Associates Incorporated's 0.33
  • AMG Distributors, Inc. (CT) - 0.33 disclosures/office, nearest small firm peer to Darwood Associates Incorporated's 0.33
  • Firms in NJ - state roster that includes Darwood Associates Incorporated's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Darwood Associates Incorporated.
  • Reading BrokerCheck Reports - How Darwood Associates Incorporated's 0.33 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Darwood Associates Incorporated.
  • Compare firms - put Darwood Associates Incorporated 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.