Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 3978 Grade F
Osaic FA, Inc. — FINRA BrokerCheck Disciplinary Record
Corporation. 0 branch offices, 22 BrokerCheck disclosures.
Osaic FA, Inc. registration status — INACTIVE
The verdict
Osaic FA, Inc. carries 22 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Among the heaviest disclosure records for its size class. Exercise caution and review thoroughly.
- 0
- branch offices (single-office firm)
- 22
- BrokerCheck disclosures
- 15
- regulatory actions
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.
Total disclosures
22 events
On FINRA BrokerCheck
Regulatory events
15 actions
68% of all disclosures
Disclosures per office
— per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 15 |
| Arbitrations | 7 |
| Civil Events | 0 |
| Total | 22 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 15 Arbitration 7 Civil 0
Disclosure Profile
Osaic FA, Inc.'s disclosure record, broken down by category and footprint.
Disclosures per office
—
Heavy load
Regulatory share
68%
of total disclosures
Size class
Single-office firm
0 branches
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 10/08/1968
- State of Formation
- Indiana
- CRD Number
- 3978
- SEC Number
- 14685
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Osaic FA, Inc.
Osaic FA, Inc. (Corporation, CRD# 3978 · SEC# 14685) operates 0 branch offices — a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 22 disclosures: 15 regulatory, 7 arbitration, 0 civil. Letter grade F (1/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of F mean for Osaic FA, Inc.?
A grade of F reflects Osaic FA, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 22 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Osaic FA, Inc. have?
Osaic FA, Inc. has 22 total FINRA disclosures, including 15 regulatory events, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Osaic FA, Inc.?
Osaic FA, 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 Osaic FA, Inc.'s disciplinary record?
You can verify Osaic FA, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3978. 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 Osaic FA, 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. Osaic FA, Inc. carries 22 disclosures across 0 branch offices (about 22.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
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Read our methodology — how this data is sourced, computed, and verified.
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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial