CRD #44181 · FINRA BrokerCheck + SEC IAPD

Nations Financial Group, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nations Financial Group, Inc. ranks #4,429 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #12 of 17 on the same disclosure sort used on the state browse page. Nations Financial Group, Inc. carries 1 BrokerCheck disclosure across 46 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
46
branch offices
1
disclosure
#4,429 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 44181 Nations Financial Group, Inc.

Nations Financial Group, Inc. · Grade B · 1 disc · 0.02/office · Mid-sized firm

  • CRD 44181
  • GRADE B
  • DISC 1
  • REG 0
  • ARB 1
  • CIV 0
  • BRANCH 46
  • PER-OFF 0.02
  • RANK #4,429 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Arkadios Capital (0.02 disc/office)

Arkadios Capital0.02Metlife Investors Distr…0.02Innovation Partners LLC0.02Nations Financial G… (this)0.02
Disclosures per office among mid-sized firm peers (lower is cleaner)

Nations Financial Group, Inc. ranks #4,429 of 20,055 by disclosure count among graded broker-dealers; light load at 0.02 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

46 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

0 actions

0% of all disclosures

Disclosures per office

0.02 per office

1 ÷ 46 offices

Nations Financial Group, Inc. vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 96% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 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 0
Arbitrations 1
Civil Events 0
Total 1

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

Disclosure category share

Regulatory 0 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Cedar Rapids, IA
CRD Number
44181

Customer-facing mix

Nations Financial Group, Inc. in the heavier-disclosure third

Nations Financial Group, Inc. carries 1 BrokerCheck disclosure across 46 branch offices - a heavier-third raw book among graded firms (#4,429 of 20,055). Customer-facing events dominate: 1 arbitration and 0 civil versus 0 regulatory (0% regulator share).

Only 0% of Nations Financial Group, Inc.'s disclosures are regulator-initiated; arbitrations (1) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Iowa cohort · 0.17× state average

Nations Financial Group, Inc. sits below the Iowa disclosure average

Nations Financial Group, Inc. reports 1 BrokerCheck disclosure, 0.17× the Iowa average of 5.9, lighter than most of the 17 graded firms filed there.

In Iowa, 5 firms carry Grade A and 0 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 Iowa state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Nations Financial Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nations Financial Group, Inc. ranks #4,429 of 20,055 by disclosure count (most disclosures first). Among firms registered in IA, it ranks #12 of 17 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 Nations Financial Group, Inc.?
A grade of B reflects Nations Financial Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 1 total disclosure across 46 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Nations Financial Group, Inc. have?
Nations Financial Group, Inc. has 1 total FINRA disclosure, including 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Nations Financial Group, Inc.?
Nations Financial Group, Inc. operates 46 branch offices and is classified by FINRA as a small firm, registered in IA (Mid-sized 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 Nations Financial Group, Inc.'s disciplinary record?
You can verify Nations Financial Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 44181. 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 Nations Financial Group, 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. Nations Financial Group, Inc. carries 1 disclosure across 46 branch offices (about 0.02 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 Nations Financial Group, Inc., both outside IA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Arkadios Capital (GA) - 0.02 disclosures/office, nearest mid-sized firm peer to Nations Financial Group, Inc.'s 0.02
  • Metlife Investors Distribution Company (NY) - 0.02 disclosures/office, nearest mid-sized firm peer to Nations Financial Group, Inc.'s 0.02
  • Innovation Partners LLC (NC) - 0.02 disclosures/office, nearest mid-sized firm peer to Nations Financial Group, Inc.'s 0.02
  • Firms in IA - state roster that includes Nations Financial Group, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Nations Financial Group, Inc..
  • Reading BrokerCheck Reports - How Nations Financial Group, Inc.'s 0.02 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Nations Financial Group, Inc..
  • Compare firms - put Nations Financial Group, 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.