Branch offices
0 offices
FINRA: Small firm
CRD #27968 · FINRA BrokerCheck + SEC IAPD
Gainey Financial Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Gainey Financial Services, Inc. ranks #618 of 20,055 by disclosure count (most disclosures first). Gainey Financial Services, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 11
- disclosures
- #618 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 27968 Gainey Financial Services, Inc.
Gainey Financial Services, Inc. · Grade D · 11 disc · 11.00/office · Single-office firm
- CRD 27968
- GRADE D
- DISC 11
- REG 7
- ARB 4
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #618 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Asiel & Co. LLC (11.00 disc/office)
Gainey Financial Services, Inc. ranks #618 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.00 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
11 events
On FINRA BrokerCheck
Regulatory events
7 actions
64% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 7 |
| Arbitrations | 4 |
| Civil Events | 0 |
| Total | 11 |
Counts for Gainey Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 7 Arbitration 4 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 27968
Heavy disclosure book
Gainey Financial Services, Inc. in the heavier-disclosure third
Gainey Financial Services, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#618 of 20,055). Regulator-initiated events are 64% of the book (7 regulatory / 4 arbitration / 0 civil).
Gainey Financial Services, Inc. ranks #618 of 20,055 by BrokerCheck disclosure count among graded firms (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Gainey Financial 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 Gainey Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Gainey Financial Services, Inc. ranks #618 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 Gainey Financial Services, Inc.?
A grade of D reflects Gainey Financial 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 11 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Gainey Financial Services, Inc. have?
Gainey Financial Services, Inc. has 11 total FINRA disclosures, including 7 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Gainey Financial Services, Inc.?
Gainey Financial 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 Gainey Financial Services, Inc.'s disciplinary record?
You can verify Gainey Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 27968. 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). Gainey Financial Services, Inc.'s 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Gainey Financial 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. Gainey Financial Services, Inc. carries 11 disclosures across 0 branch offices (about 11.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Asiel & Co. LLC - 11.00 disclosures/office, nearest single-office firm peer to Gainey Financial Services, Inc.'s 11.00
- Auerbach, Pollak & Richardson Inc. - 11.00 disclosures/office, nearest single-office firm peer to Gainey Financial Services, Inc.'s 11.00
- Bayou Securities, LLC - 11.00 disclosures/office, nearest single-office firm peer to Gainey Financial Services, Inc.'s 11.00
- Red Flags in Advisor Records - How to read Gainey Financial Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 11 disclosures behind Gainey Financial Services, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Gainey Financial Services, Inc..
- Compare firms - put Gainey Financial 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.