Branch offices
0 offices
FINRA: Small firm
CRD #32444 · FINRA BrokerCheck + SEC IAPD
First Allied Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Allied Securities, Inc. ranks #155 of 20,055 by disclosure count (most disclosures first). First Allied Securities, Inc. carries 34 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 34
- disclosures
- #155 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 32444 First Allied Securities, Inc.
First Allied Securities, Inc. · Grade F · 34 disc · 34.00/office · Single-office firm
- CRD 32444
- GRADE F
- DISC 34
- REG 18
- ARB 16
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #155 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: DB Alex. Brown LLC (34.00 disc/office)
First Allied Securities, Inc. ranks #155 of 20,055 by disclosure count among graded broker-dealers; heavy load at 34.00 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
Total disclosures
34 events
On FINRA BrokerCheck
Regulatory events
18 actions
53% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 18 |
| Arbitrations | 16 |
| Civil Events | 0 |
| Total | 34 |
Counts for First Allied Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 18 Arbitration 16 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 32444
Heavy disclosure book
First Allied Securities, Inc. in the heavier-disclosure third
First Allied Securities, Inc. carries 34 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#155 of 20,055). Mix is 18 regulatory, 16 arbitration, and 0 civil (53% regulator share).
First Allied Securities, Inc. ranks #155 of 20,055 by BrokerCheck disclosure count among graded firms (34 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of First Allied Securities, 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 First Allied Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Allied Securities, Inc. ranks #155 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 First Allied Securities, Inc.?
A grade of F reflects First Allied Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 34 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does First Allied Securities, Inc. have?
First Allied Securities, Inc. has 34 total FINRA disclosures, including 18 regulatory events, 16 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is First Allied Securities, Inc.?
First Allied Securities, 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 First Allied Securities, Inc.'s disciplinary record?
You can verify First Allied Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 32444. 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). First Allied Securities, Inc.'s 34 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid First Allied Securities, 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. First Allied Securities, Inc. carries 34 disclosures across 0 branch offices (about 34.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- DB Alex. Brown LLC - 34.00 disclosures/office, nearest single-office firm peer to First Allied Securities, Inc.'s 34.00
- Deutsche IXE, LLC - 34.00 disclosures/office, nearest single-office firm peer to First Allied Securities, Inc.'s 34.00
- Dominick & Dickerman LLC - 34.00 disclosures/office, nearest single-office firm peer to First Allied Securities, Inc.'s 34.00
- Red Flags in Advisor Records - How to read First Allied Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 34 disclosures behind First Allied Securities, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as First Allied Securities, Inc..
- Compare firms - put First Allied Securities, 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.