Branch offices
0 offices
FINRA: Small firm
CRD #17609 · FINRA BrokerCheck + SEC IAPD
Gunnallen Financial, Inc
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Gunnallen Financial, Inc ranks #188 of 20,055 by disclosure count (most disclosures first). Gunnallen Financial, Inc carries 30 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 30
- disclosures
- #188 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 17609 Gunnallen Financial, Inc
Gunnallen Financial, Inc · Grade F · 30 disc · 30.00/office · Single-office firm
- CRD 17609
- GRADE F
- DISC 30
- REG 17
- ARB 13
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #188 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: E*Trade Clearing LLC (30.00 disc/office)
Gunnallen Financial, Inc ranks #188 of 20,055 by disclosure count among graded broker-dealers; heavy load at 30.00 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
30 events
On FINRA BrokerCheck
Regulatory events
17 actions
57% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 17 |
| Arbitrations | 13 |
| Civil Events | 0 |
| Total | 30 |
Counts for Gunnallen Financial, Inc reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 17 Arbitration 13 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 17609
Heavy disclosure book
Gunnallen Financial, Inc in the heavier-disclosure third
Gunnallen Financial, Inc carries 30 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#188 of 20,055). Mix is 17 regulatory, 13 arbitration, and 0 civil (57% regulator share).
Gunnallen Financial, Inc ranks #188 of 20,055 by BrokerCheck disclosure count among graded firms (30 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Gunnallen Financial, 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 Gunnallen Financial, Inc sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Gunnallen Financial, Inc ranks #188 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 Gunnallen Financial, Inc?
A grade of F reflects Gunnallen Financial, Inc's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 30 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Gunnallen Financial, Inc have?
Gunnallen Financial, Inc has 30 total FINRA disclosures, including 17 regulatory events, 13 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Gunnallen Financial, Inc?
Gunnallen Financial, 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 Gunnallen Financial, Inc's disciplinary record?
You can verify Gunnallen Financial, Inc's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17609. 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). Gunnallen Financial, Inc's 30 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Gunnallen Financial, 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. Gunnallen Financial, Inc carries 30 disclosures across 0 branch offices (about 30.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- E*Trade Clearing LLC - 30.00 disclosures/office, nearest single-office firm peer to Gunnallen Financial, Inc's 30.00
- Knight Capital Americas, L.P. - 30.00 disclosures/office, nearest single-office firm peer to Gunnallen Financial, Inc's 30.00
- LFG, L.L.C. - 30.00 disclosures/office, nearest single-office firm peer to Gunnallen Financial, Inc's 30.00
- Red Flags in Advisor Records - How to read Gunnallen Financial, Inc's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 30 disclosures behind Gunnallen Financial, Inc's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Gunnallen Financial, Inc.
- Compare firms - put Gunnallen Financial, 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.