CRD #16668 · FINRA BrokerCheck + SEC IAPD

Financial West Group

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Financial West Group ranks #56 of 20,055 by disclosure count (most disclosures first). Financial West Group carries 80 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
80
disclosures
#56 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16668 Financial West Group

Financial West Group · Grade F · 80 disc · 80.00/office · Single-office firm

  • CRD 16668
  • GRADE F
  • DISC 80
  • REG 73
  • ARB 7
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #56 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Chase Investment Services Corp. (81.00 disc/office)

Chase Investment Servic…81.00National Securities Cor…82.00Advest, Inc.77.00Financial West Group (this)80.00
Disclosures per office among single-office firm peers (lower is cleaner)

Financial West Group ranks #56 of 20,055 by disclosure count among graded broker-dealers; heavy load at 80.00 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

80 events

On FINRA BrokerCheck

Regulatory events

73 actions

91% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 73
Arbitrations 7
Civil Events 0
Total 80

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

Disclosure category share

Regulatory 73 Arbitration 7 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
05/22/1985
State of Formation
California
CRD Number
16668
SEC Number
34448

Regulator-heavy mix

Financial West Group in the heavier-disclosure third

Financial West Group carries 80 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#56 of 20,055). Regulator-initiated events are 91% of the book (73 regulatory / 7 arbitration / 0 civil).

91% of Financial West Group's 80 disclosures are regulator-initiated (73 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Financial West Group'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 West Group sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Financial West Group ranks #56 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 Financial West Group?
A grade of F reflects Financial West Group's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 80 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Financial West Group have?
Financial West Group has 80 total FINRA disclosures, including 73 regulatory events, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Financial West Group?
Financial West Group 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 West Group's disciplinary record?
You can verify Financial West Group's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16668. 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 West Group's 80 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Financial West Group 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 West Group carries 80 disclosures across 0 branch offices (about 80.00 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.