CRD #3870 · FINRA BrokerCheck + SEC IAPD

Osaic FS, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Osaic FS, Inc. ranks #208 of 20,055 by disclosure count (most disclosures first). Osaic FS, Inc. carries 28 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
28
disclosures
#208 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3870 Osaic FS, Inc.

Osaic FS, Inc. · Grade F · 28 disc · 28.00/office · Single-office firm

  • CRD 3870
  • GRADE F
  • DISC 28
  • REG 22
  • ARB 6
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #208 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Acument Securities, Inc. (28.00 disc/office)

Acument Securities, Inc.28.00Crowell, Weedon & Co.28.00Cutler Group, LLC28.00Osaic FS, Inc. (this)28.00
Disclosures per office among single-office firm peers (lower is cleaner)

Osaic FS, Inc. ranks #208 of 20,055 by disclosure count among graded broker-dealers; heavy load at 28.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

28 events

On FINRA BrokerCheck

Regulatory events

22 actions

79% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 22
Arbitrations 6
Civil Events 0
Total 28

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

Disclosure category share

Regulatory 22 Arbitration 6 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
01/21/1969
State of Formation
New Hampshire
CRD Number
3870
SEC Number
14609

Regulator-heavy mix

Osaic FS, Inc. in the heavier-disclosure third

Osaic FS, Inc. carries 28 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#208 of 20,055). Regulator-initiated events are 79% of the book (22 regulatory / 6 arbitration / 0 civil).

79% of Osaic FS, Inc.'s 28 disclosures are regulator-initiated (22 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Osaic FS, 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 Osaic FS, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Osaic FS, Inc. ranks #208 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 Osaic FS, Inc.?
A grade of F reflects Osaic FS, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 28 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Osaic FS, Inc. have?
Osaic FS, Inc. has 28 total FINRA disclosures, including 22 regulatory events, 6 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Osaic FS, Inc.?
Osaic FS, 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 FS, Inc.'s disciplinary record?
You can verify Osaic FS, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3870. 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). Osaic FS, Inc.'s 28 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Osaic FS, 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 FS, Inc. carries 28 disclosures across 0 branch offices (about 28.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.