CRD #12981 · FINRA BrokerCheck + SEC IAPD

Finance 500, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Finance 500, Inc. ranks #285 of 20,055 by disclosure count (most disclosures first). Finance 500, Inc. carries 21 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
21
disclosures
#285 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 12981 Finance 500, Inc.

Finance 500, Inc. · Grade F · 21 disc · 21.00/office · Single-office firm

  • CRD 12981
  • GRADE F
  • DISC 21
  • REG 16
  • ARB 5
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #285 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Avantax Investment Services, Inc. (21.00 disc/office)

Avantax Investment Serv…21.00BNY Clearing Services LLC21.00Cadaret, Grant & Co., Inc.21.00Finance 500, Inc. (this)21.00
Disclosures per office among single-office firm peers (lower is cleaner)

Finance 500, Inc. ranks #285 of 20,055 by disclosure count among graded broker-dealers; heavy load at 21.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

21 events

On FINRA BrokerCheck

Regulatory events

16 actions

76% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 16
Arbitrations 5
Civil Events 0
Total 21

Counts for Finance 500, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 16 Arbitration 5 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
08/24/1982
State of Formation
California
CRD Number
12981
SEC Number
28302

Regulator-heavy mix

Finance 500, Inc. in the heavier-disclosure third

Finance 500, Inc. carries 21 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#285 of 20,055). Regulator-initiated events are 76% of the book (16 regulatory / 5 arbitration / 0 civil).

76% of Finance 500, Inc.'s 21 disclosures are regulator-initiated (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Finance 500, 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 Finance 500, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Finance 500, Inc. ranks #285 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 Finance 500, Inc.?
A grade of F reflects Finance 500, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 21 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Finance 500, Inc. have?
Finance 500, Inc. has 21 total FINRA disclosures, including 16 regulatory events, 5 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Finance 500, Inc.?
Finance 500, 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 Finance 500, Inc.'s disciplinary record?
You can verify Finance 500, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 12981. 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). Finance 500, Inc.'s 21 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Finance 500, 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. Finance 500, Inc. carries 21 disclosures across 0 branch offices (about 21.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.