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.

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.