CRD #13162 · FINRA BrokerCheck + SEC IAPD

Dunham

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dunham ranks #1,680 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #23 of 279 on the same disclosure sort used on the state browse page. Dunham carries 4 BrokerCheck disclosures across 12 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
12
branch offices
4
disclosures
#1,680 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 13162 Dunham

Dunham · Grade B · 4 disc · 0.33/office · Regional firm

  • CRD 13162
  • GRADE B
  • DISC 4
  • REG 2
  • ARB 2
  • CIV 0
  • BRANCH 12
  • PER-OFF 0.33
  • RANK #1,680 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Financial Northeastern Securities, LLC (0.33 disc/office)

Financial Northeastern …0.33Syndicated Capital, Inc.0.33Robinhood Securities, LLC0.36Dunham (this)0.33
Disclosures per office among regional firm peers (lower is cleaner)

Dunham ranks #1,680 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

12 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

2 actions

50% of all disclosures

Disclosures per office

0.33 per office

4 ÷ 12 offices

Dunham 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 2
Arbitrations 2
Civil Events 0
Total 4

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

Disclosure category share

Regulatory 2 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
San Diego, CA, 92122
Formed
05/26/1982
State of Formation
California
CRD Number
13162
SEC Number
28527

Lower disclosures per office

Dunham in the heavier-disclosure third

Dunham carries 4 BrokerCheck disclosures across 12 branch offices - a heavier-third raw book among graded firms (#1,680 of 20,055). Mix is 2 regulatory, 2 arbitration, and 0 civil (50% regulator share).

Dunham runs 0.33 disclosures per branch office (cleaner than 71% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

California cohort · 1.95× state average

Dunham sits above the California disclosure average

Dunham reports 4 BrokerCheck disclosures, 1.95× the California average of 2.1 across 279 graded firms with a principal-office state on file.

In California, 189 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 California state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Dunham sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dunham ranks #1,680 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #23 of 279 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 Dunham?
A grade of B reflects Dunham's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 4 total disclosures across 12 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Dunham have?
Dunham has 4 total FINRA disclosures, including 2 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Dunham?
Dunham operates 12 branch offices and is classified by FINRA as a small firm, registered in CA (Regional 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 Dunham's disciplinary record?
You can verify Dunham's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13162. 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 Dunham 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. Dunham carries 4 disclosures across 12 branch offices (about 0.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Dunham, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.