CRD #8000 · FINRA BrokerCheck + SEC IAPD

GMS Group

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, GMS Group ranks #349 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #10 of 114 on the same disclosure sort used on the state browse page. GMS Group carries 18 BrokerCheck disclosures across 10 branch offices - elevated load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
10
branch offices
18
disclosures
#349 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 8000 GMS Group

GMS Group · Grade B · 18 disc · 1.80/office · Regional firm

  • CRD 8000
  • GRADE B
  • DISC 18
  • REG 8
  • ARB 10
  • CIV 0
  • BRANCH 10
  • PER-OFF 1.80
  • RANK #349 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Carty, Harding & Hearn, Inc. (2.00 disc/office)

Carty, Harding & Hearn,…2.00Lazard Freres & Co. LLC1.60Network 1 Financial Sec…2.00GMS Group (this)1.80
Disclosures per office among regional firm peers (lower is cleaner)

GMS Group ranks #349 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.80 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

Branch offices

10 offices

FINRA: Small firm

Total disclosures

18 events

On FINRA BrokerCheck

Regulatory events

8 actions

44% of all disclosures

Disclosures per office

1.80 per office

18 ÷ 10 offices

GMS Group vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 16% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). This entry sits in this band. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 8
Arbitrations 10
Civil Events 0
Total 18

Counts for GMS Group reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 8 Arbitration 10 Civil 0

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

Elevated disclosures per office

GMS Group in the heavier-disclosure third

GMS Group carries 18 BrokerCheck disclosures across 10 branch offices - a heavier-third raw book among graded firms (#349 of 20,055). Mix is 8 regulatory, 10 arbitration, and 0 civil (44% regulator share).

GMS Group runs 1.80 disclosures per branch office (cleaner than only 84% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of GMS Group's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 1.40× state average

GMS Group sits above the New Jersey disclosure average

GMS Group reports 18 BrokerCheck disclosures, 1.40× the New Jersey average of 12.9 across 114 graded firms with a principal-office state on file.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does GMS Group sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, GMS Group ranks #349 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #10 of 114 on the same disclosure sort used on the state browse page. 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 B mean for GMS Group?
A grade of B reflects GMS Group's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 18 total disclosures across 10 branch offices. Review the specific disclosures on FINRA BrokerCheck 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 big is GMS Group?
GMS Group operates 10 branch offices and is classified by FINRA as a small firm, registered in NJ (Regional 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 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 (regulatory, arbitration, or civil). GMS Group's 18 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid GMS Group 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. GMS Group carries 18 disclosures across 10 branch offices (about 1.80 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for GMS Group, both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.