Branch offices
0 offices
FINRA: Small firm
CRD #16010 · FINRA BrokerCheck + SEC IAPD
Financial Investment Analysts, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Financial Investment Analysts, Inc. ranks #671 of 20,055 by disclosure count (most disclosures first). Financial Investment Analysts, Inc. carries 10 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 10
- disclosures
- #671 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 16010 Financial Investment Analysts, Inc.
Financial Investment Analysts, Inc. · Grade D · 10 disc · 10.00/office · Single-office firm
- CRD 16010
- GRADE D
- DISC 10
- REG 5
- ARB 4
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #671 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Allen C. Ewing & Co. (10.00 disc/office)
Financial Investment Analysts, Inc. ranks #671 of 20,055 by disclosure count among graded broker-dealers; heavy load at 10.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
Total disclosures
10 events
On FINRA BrokerCheck
Regulatory events
5 actions
50% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 5 |
| Arbitrations | 4 |
| Civil Events | 1 |
| Total | 10 |
Counts for Financial Investment Analysts, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 5 Arbitration 4 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 16010
Heavy disclosure book
Financial Investment Analysts, Inc. in the heavier-disclosure third
Financial Investment Analysts, Inc. carries 10 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#671 of 20,055). Mix is 5 regulatory, 4 arbitration, and 1 civil (50% regulator share).
Financial Investment Analysts, Inc. ranks #671 of 20,055 by BrokerCheck disclosure count among graded firms (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Financial Investment Analysts, 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 Financial Investment Analysts, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Financial Investment Analysts, Inc. ranks #671 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 D mean for Financial Investment Analysts, Inc.?
A grade of D reflects Financial Investment Analysts, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 10 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Financial Investment Analysts, Inc. have?
Financial Investment Analysts, Inc. has 10 total FINRA disclosures, including 5 regulatory events, 4 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Financial Investment Analysts, Inc.?
Financial Investment Analysts, 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 Financial Investment Analysts, Inc.'s disciplinary record?
You can verify Financial Investment Analysts, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16010. 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). Financial Investment Analysts, Inc.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Financial Investment Analysts, 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. Financial Investment Analysts, Inc. carries 10 disclosures across 0 branch offices (about 10.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Allen C. Ewing & Co. - 10.00 disclosures/office, nearest single-office firm peer to Financial Investment Analysts, Inc.'s 10.00
- American Securities BD Co., L.P. - 10.00 disclosures/office, nearest single-office firm peer to Financial Investment Analysts, Inc.'s 10.00
- Archelon LLC - 10.00 disclosures/office, nearest single-office firm peer to Financial Investment Analysts, Inc.'s 10.00
- Red Flags in Advisor Records - How to read Financial Investment Analysts, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 10 disclosures behind Financial Investment Analysts, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Financial Investment Analysts, Inc..
- Compare firms - put Financial Investment Analysts, 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.