CRD #5361 · FINRA BrokerCheck + SEC IAPD

N.I.S. Financial Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, N.I.S. Financial Services, Inc. ranks #2,301 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #20 of 36 on the same disclosure sort used on the state browse page. N.I.S. Financial Services, Inc. carries 3 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
2
branch offices
3
disclosures
#2,301 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5361 N.I.S. Financial Services, Inc.

N.I.S. Financial Services, Inc. · Grade D · 3 disc · 1.50/office · Small firm

  • CRD 5361
  • GRADE D
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.50
  • RANK #2,301 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: ACS Execution Services, LLC (1.50 disc/office)

ACS Execution Services,…1.50Allied Millennial Partn…1.50ANZ Securities, Inc.1.50N.I.S. Financial Se… (this)1.50
Disclosures per office among small firm peers (lower is cleaner)

N.I.S. Financial Services, Inc. ranks #2,301 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

2 offices

FINRA: Medium firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

1.50 per office

3 ÷ 2 offices

N.I.S. Financial Services, Inc. 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 17% 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%). This entry sits in this band. 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 3
Arbitrations 0
Civil Events 0
Total 3

Counts for N.I.S. Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Kansas City, MO, 64106
Formed
02/04/1970
State of Formation
Missouri
CRD Number
5361
SEC Number
15919

Regulator-heavy mix

N.I.S. Financial Services, Inc. in the heavier-disclosure third

N.I.S. Financial Services, Inc. carries 3 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#2,301 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of N.I.S. Financial Services, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Missouri cohort · 0.09× state average

N.I.S. Financial Services, Inc. sits below the Missouri disclosure average

N.I.S. Financial Services, Inc. reports 3 BrokerCheck disclosures, 0.09× the Missouri average of 34.3, lighter than most of the 36 graded firms filed there.

In Missouri, 9 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 Missouri state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does N.I.S. Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, N.I.S. Financial Services, Inc. ranks #2,301 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #20 of 36 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 D mean for N.I.S. Financial Services, Inc.?
A grade of D reflects N.I.S. Financial Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 3 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does N.I.S. Financial Services, Inc. have?
N.I.S. Financial Services, Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is N.I.S. Financial Services, Inc.?
N.I.S. Financial Services, Inc. operates 2 branch offices and is classified by FINRA as a medium firm, registered in MO (Small 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 N.I.S. Financial Services, Inc.'s disciplinary record?
You can verify N.I.S. Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5361. 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 BrokerCheck. For N.I.S. Financial Services, Inc., the 1.50 per-office intensity is the size-normalized signal behind Grade D.
Should I avoid N.I.S. Financial Services, 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. N.I.S. Financial Services, Inc. carries 3 disclosures across 2 branch offices (about 1.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • ACS Execution Services, LLC (NJ) - 1.50 disclosures/office, nearest small firm peer to N.I.S. Financial Services, Inc.'s 1.50
  • Allied Millennial Partners, LLC (NY) - 1.50 disclosures/office, nearest small firm peer to N.I.S. Financial Services, Inc.'s 1.50
  • ANZ Securities, Inc. (NY) - 1.50 disclosures/office, nearest small firm peer to N.I.S. Financial Services, Inc.'s 1.50
  • Firms in MO - state roster that includes N.I.S. Financial Services, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read N.I.S. Financial Services, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 3 disclosures behind N.I.S. Financial Services, Inc.'s Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as N.I.S. Financial Services, Inc..
  • Compare firms - put N.I.S. Financial Services, 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.