Branch offices
0 offices
FINRA: Small firm
CRD #8112 · FINRA BrokerCheck + SEC IAPD
First Union Brokerage Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Union Brokerage Services, Inc. ranks #299 of 20,055 by disclosure count (most disclosures first). First Union Brokerage Services, Inc. carries 20 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 20
- disclosures
- #299 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 8112 First Union Brokerage Services, Inc.
First Union Brokerage Services, Inc. · Grade F · 20 disc · 20.00/office · Single-office firm
- CRD 8112
- GRADE F
- DISC 20
- REG 18
- ARB 2
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #299 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Bridge Trading Company (20.00 disc/office)
First Union Brokerage Services, Inc. ranks #299 of 20,055 by disclosure count among graded broker-dealers; heavy load at 20.00 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
20 events
On FINRA BrokerCheck
Regulatory events
18 actions
90% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 18 |
| Arbitrations | 2 |
| Civil Events | 0 |
| Total | 20 |
Counts for First Union Brokerage Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 18 Arbitration 2 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 8112
Regulator-heavy mix
First Union Brokerage Services, Inc. in the heavier-disclosure third
First Union Brokerage Services, Inc. carries 20 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#299 of 20,055). Regulator-initiated events are 90% of the book (18 regulatory / 2 arbitration / 0 civil).
90% of First Union Brokerage Services, Inc.'s 20 disclosures are regulator-initiated (18 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of First Union Brokerage Services, 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 Union Brokerage Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Union Brokerage Services, Inc. ranks #299 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 Union Brokerage Services, Inc.?
A grade of F reflects First Union Brokerage Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 20 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does First Union Brokerage Services, Inc. have?
First Union Brokerage Services, Inc. has 20 total FINRA disclosures, including 18 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is First Union Brokerage Services, Inc.?
First Union Brokerage Services, 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 Union Brokerage Services, Inc.'s disciplinary record?
You can verify First Union Brokerage Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8112. 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 Union Brokerage Services, Inc.'s 20 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid First Union Brokerage Services, 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 Union Brokerage Services, Inc. carries 20 disclosures across 0 branch offices (about 20.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Bridge Trading Company - 20.00 disclosures/office, nearest single-office firm peer to First Union Brokerage Services, Inc.'s 20.00
- Capital Growth Financial, LLC - 20.00 disclosures/office, nearest single-office firm peer to First Union Brokerage Services, Inc.'s 20.00
- Citigroup Derivatives Markets Inc. - 20.00 disclosures/office, nearest single-office firm peer to First Union Brokerage Services, Inc.'s 20.00
- Red Flags in Advisor Records - How to read First Union Brokerage Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 20 disclosures behind First Union Brokerage Services, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as First Union Brokerage Services, Inc..
- Compare firms - put First Union Brokerage Services, 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.