CRD #42324 · FINRA BrokerCheck + SEC IAPD

Dougall & Associates Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dougall & Associates Inc. ranks #2,085 of 20,055 by disclosure count (most disclosures first). Among firms registered in IN, it ranks #3 of 16 on the same disclosure sort used on the state browse page. Dougall & Associates Inc. carries 3 BrokerCheck disclosures across 3 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
3
branch offices
3
disclosures
#2,085 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 42324 Dougall & Associates Inc.

Dougall & Associates Inc. · Grade B · 3 disc · 1.00/office · Small firm

  • CRD 42324
  • GRADE B
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 1.00
  • RANK #2,085 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00Dougall & Associate… (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

Dougall & Associates Inc. ranks #2,085 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

Branch offices

3 offices

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

1.00 per office

3 ÷ 3 offices

Dougall & Associates 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

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 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 3
Arbitrations 0
Civil Events 0
Total 3

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

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Saint John, IN
CRD Number
42324

Regulator-heavy mix

Dougall & Associates Inc. in the heavier-disclosure third

Dougall & Associates Inc. carries 3 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#2,085 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of Dougall & Associates Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Indiana cohort · 1.85× state average

Dougall & Associates Inc. sits above the Indiana disclosure average

Dougall & Associates Inc. reports 3 BrokerCheck disclosures, 1.85× the Indiana average of 1.6 across 16 graded firms with a principal-office state on file.

In Indiana, 7 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 Indiana state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Dougall & Associates Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dougall & Associates Inc. ranks #2,085 of 20,055 by disclosure count (most disclosures first). Among firms registered in IN, it ranks #3 of 16 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 Dougall & Associates Inc.?
A grade of B reflects Dougall & Associates Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 3 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Dougall & Associates Inc. have?
Dougall & Associates Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Dougall & Associates Inc.?
Dougall & Associates Inc. operates 3 branch offices and is classified by FINRA as a small firm, registered in IN (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 Dougall & Associates Inc.'s disciplinary record?
You can verify Dougall & Associates Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 42324. 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 Dougall & Associates Inc., the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Dougall & Associates 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. Dougall & Associates Inc. carries 3 disclosures across 3 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 Dougall & Associates Inc.'s 1.00
  • ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to Dougall & Associates Inc.'s 1.00
  • Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to Dougall & Associates Inc.'s 1.00
  • Firms in IN - state roster that includes Dougall & Associates Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Dougall & Associates Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 3 disclosures behind Dougall & Associates Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Dougall & Associates Inc..
  • Compare firms - put Dougall & Associates 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.