Registered advisors
1 advisors
Small firm tier
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 8000 Grade F
GMS GROUP — FINRA BrokerCheck Disciplinary Record
Limited Liability Company headquartered in EAST HANOVER, NJ. 1 registered advisor, 1800.0% disclosure rate.
GMS GROUP registration status — ACTIVE
Total disclosures
18 events
On FINRA BrokerCheck
Disclosure rate
1800.0%
18 ÷ 1 advisors
Branch offices
10 offices
Formed in Delaware
Disclosure Density
Disclosures per registered advisor — relative to peer-firm benchmarks.
GMS GROUP — disclosures per advisor 100.0%
Industry median
Compared against the 0.10-disclosure-per-advisor industry-median benchmark drawn from the firms table.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 8 |
| Customer Complaints | 0 |
| Arbitrations | 10 |
| Civil Events | 0 |
| Total | 18 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
GMS GROUP — 18 disclosures on FINRA U4/U5 categories
Peer Comparison
GMS GROUP vs. industry-median benchmarks for Small-tier broker-dealer firms.
Disclosure rate
1800.0%
Industry median: 10.0%
Reg events / advisor
8.00
Industry median: 0.05
Branches / advisor
10.00
Industry median: 0.15
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- EAST HANOVER, NJ, 07936
- Formed
- 03/05/1997
- State of Formation
- Delaware
- CRD Number
- 8000
- SEC Number
- 23936
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About GMS GROUP
GMS GROUP (Limited Liability Company, CRD# 8000 · SEC# 23936 · EAST HANOVER, NJ) reports 1 advisor across 10 branches — Small tier, scope ACTIVE.
BrokerCheck shows 18 disclosures (1800.0% per-advisor rate): 8 regulatory, 0 customer-complaint, 10 arbitration, 0 civil. Letter grade F (1/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a high disclosure rate relative to advisor headcount is a signal worth examining before you hire. Compare the per-advisor rate above against firms of similar size, and read each disclosure's underlying detail on the official record rather than relying on the headline count alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA, BrokerCheck Public Disclosure Data (2024) FINRA, BrokerCheck Public Disclosure Data (2024)
Frequently Asked Questions
What does a grade of F mean for GMS GROUP?
A grade of F indicates GMS GROUP has a significant number of FINRA disclosures relative to its size (1800.0% disclosure rate). Prospective clients should review the specific disclosures before engaging.
How many FINRA disclosures does GMS GROUP have?
GMS GROUP has 18 total FINRA disclosures, including 8 regulatory events, 10 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How many financial advisors work at GMS GROUP?
GMS GROUP has 1 registered advisor and 10 branch offices, headquartered in NJ. Advisor counts are sourced from FINRA BrokerCheck public records.
Where can I verify GMS GROUP's disciplinary record?
You can verify GMS GROUP's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8000. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid GMS GROUP because of its disclosures?
Not necessarily. Larger firms with more advisors tend to accumulate more disclosures. GMS GROUP has a 1800.0% disclosure rate (18 disclosures across 1 advisors). Consider reviewing the nature of individual disclosures on FINRA BrokerCheck and comparing rates with similarly-sized firms before making a decision.
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Read our methodology — how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial