Branch offices
0 offices
FINRA: Small firm
CRD #28784 · FINRA BrokerCheck + SEC IAPD
Forta Financial Group, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Forta Financial Group, Inc. ranks #1,197 of 20,055 by disclosure count (most disclosures first). Forta Financial Group, Inc. carries 6 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 6
- disclosures
- #1,197 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 28784 Forta Financial Group, Inc.
Forta Financial Group, Inc. · Grade C · 6 disc · 6.00/office · Single-office firm
- CRD 28784
- GRADE C
- DISC 6
- REG 1
- ARB 5
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,197 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: ACN Securities Inc. (6.00 disc/office)
Forta Financial Group, Inc. ranks #1,197 of 20,055 by disclosure count among graded broker-dealers; heavy load at 6.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 3/5 - 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
6 events
On FINRA BrokerCheck
Regulatory events
1 action
17% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 5 |
| Civil Events | 0 |
| Total | 6 |
Counts for Forta Financial Group, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 5 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 06/24/1991
- State of Formation
- California
- CRD Number
- 28784
- SEC Number
- 43930
Customer-facing mix
Forta Financial Group, Inc. in the heavier-disclosure third
Forta Financial Group, Inc. carries 6 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,197 of 20,055). Customer-facing events dominate: 5 arbitration and 0 civil versus 1 regulatory (17% regulator share).
Only 17% of Forta Financial Group, Inc.'s disclosures are regulator-initiated; arbitrations (5) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Forta Financial Group, 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 Forta Financial Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Forta Financial Group, Inc. ranks #1,197 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 C mean for Forta Financial Group, Inc.?
A grade of C reflects Forta Financial Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 6 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Forta Financial Group, Inc. have?
Forta Financial Group, Inc. has 6 total FINRA disclosures, including 1 regulatory event, 5 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Forta Financial Group, Inc.?
Forta Financial Group, 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 Forta Financial Group, Inc.'s disciplinary record?
You can verify Forta Financial Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 28784. 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). Forta Financial Group, Inc.'s 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Forta Financial Group, 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. Forta Financial Group, Inc. carries 6 disclosures across 0 branch offices (about 6.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- ACN Securities Inc. - 6.00 disclosures/office, nearest single-office firm peer to Forta Financial Group, Inc.'s 6.00
- American Investors Group, Inc. - 6.00 disclosures/office, nearest single-office firm peer to Forta Financial Group, Inc.'s 6.00
- Apollo Partners, L.P. - 6.00 disclosures/office, nearest single-office firm peer to Forta Financial Group, Inc.'s 6.00
- Red Flags in Advisor Records - How to read Forta Financial Group, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 6 disclosures behind Forta Financial Group, Inc.'s Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Forta Financial Group, Inc..
- Compare firms - put Forta Financial Group, 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.