Branch offices
1 office
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #133763 · FINRA BrokerCheck + SEC IAPD
Osaic Services, Inc.
Osaic Services, Inc. carries 37 BrokerCheck disclosures across 1 branch office - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 1
- branch office
- 37
- disclosures
- 37.00
- per office
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
37 events
On FINRA BrokerCheck
Regulatory events
26 actions
70% of all disclosures
Disclosures per office
37.00 per office
37 ÷ 1 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Osaic Services, Inc. - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 26 |
| Arbitrations | 11 |
| Civil Events | 0 |
| Total | 37 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 26 Arbitration 11 Civil 0
Disclosure Profile
Osaic Services, Inc.'s disclosure record, broken down by category and footprint.
Disclosures per office
37.00
Heavy load
Regulatory share
70%
of total disclosures
Size class
Single-office firm
1 branch
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Scottsdale, AZ, 85255
- Formed
- 09/10/2004
- State of Formation
- Delaware
- CRD Number
- 133763
- SEC Number
- 66771
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 Services, Inc.
Osaic Services, Inc. (Corporation, CRD# 133763 · SEC# 66771 · Scottsdale, AZ) operates 1 branch office - a single-office firm (FINRA: small), scope ACTIVE.
BrokerCheck shows 37 disclosures as of July 2026 (about 37.00 per branch office): 26 regulatory, 11 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 Services, Inc.?
A grade of F reflects Osaic Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 37 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Osaic Services, Inc. have?
Osaic Services, Inc. has 37 total FINRA disclosures, including 26 regulatory events, 11 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Osaic Services, Inc.?
Osaic Services, Inc. operates 1 branch office and is classified by FINRA as a small firm, registered in AZ (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 Services, Inc.'s disciplinary record?
You can verify Osaic Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 133763. 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 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. Osaic Services, Inc. carries 37 disclosures across 1 branch office (about 37.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Related Guides
Explore More Firm Data
Read our methodology - how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.