Branch offices
0 offices
FINRA: Small firm
CRD #40982 · FINRA BrokerCheck + SEC IAPD
John Thomas Financial
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, John Thomas Financial ranks #199 of 20,055 by disclosure count (most disclosures first). John Thomas Financial carries 29 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 29
- disclosures
- #199 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 40982 John Thomas Financial
John Thomas Financial · Grade F · 29 disc · 29.00/office · Single-office firm
- CRD 40982
- GRADE F
- DISC 29
- REG 11
- ARB 18
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #199 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Cowen Execution Services LLC (29.00 disc/office)
John Thomas Financial ranks #199 of 20,055 by disclosure count among graded broker-dealers; heavy load at 29.00 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
29 events
On FINRA BrokerCheck
Regulatory events
11 actions
38% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 18 |
| Civil Events | 0 |
| Total | 29 |
Counts for John Thomas Financial reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 18 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 40982
Heavy disclosure book
John Thomas Financial in the heavier-disclosure third
John Thomas Financial carries 29 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#199 of 20,055). Mix is 11 regulatory, 18 arbitration, and 0 civil (38% regulator share).
John Thomas Financial ranks #199 of 20,055 by BrokerCheck disclosure count among graded firms (29 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of John Thomas Financial'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 John Thomas Financial sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, John Thomas Financial ranks #199 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 John Thomas Financial?
A grade of F reflects John Thomas Financial's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 29 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does John Thomas Financial have?
John Thomas Financial has 29 total FINRA disclosures, including 11 regulatory events, 18 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is John Thomas Financial?
John Thomas Financial 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 John Thomas Financial's disciplinary record?
You can verify John Thomas Financial's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40982. 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). John Thomas Financial's 29 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid John Thomas Financial 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. John Thomas Financial carries 29 disclosures across 0 branch offices (about 29.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Cowen Execution Services LLC - 29.00 disclosures/office, nearest single-office firm peer to John Thomas Financial's 29.00
- Dreyfus Brokerage Services, Inc. - 29.00 disclosures/office, nearest single-office firm peer to John Thomas Financial's 29.00
- Icapital Markets LLC - 29.00 disclosures/office, nearest single-office firm peer to John Thomas Financial's 29.00
- Red Flags in Advisor Records - How to read John Thomas Financial's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 29 disclosures behind John Thomas Financial's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as John Thomas Financial.
- Compare firms - put John Thomas Financial 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.