Branch offices
1 office
FINRA: Small firm
CRD #133763 · FINRA BrokerCheck + SEC IAPD
Osaic Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Osaic Services, Inc. ranks #141 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #2 of 25 on the same disclosure sort used on the state browse page. 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
- #141 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 133763 Osaic Services, Inc.
Osaic Services, Inc. · Grade F · 37 disc · 37.00/office · Single-office firm
- CRD 133763
- GRADE F
- DISC 37
- REG 26
- ARB 11
- CIV 0
- BRANCH 1
- PER-OFF 37.00
- RANK #141 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: American Investment Services, Inc. (37.00 disc/office)
Osaic Services, Inc. ranks #141 of 20,055 by disclosure count among graded broker-dealers; heavy load at 37.00 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
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 for Osaic Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 26 Arbitration 11 Civil 0
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
Heavy disclosure book
Osaic Services, Inc. in the heavier-disclosure third
Osaic Services, Inc. carries 37 BrokerCheck disclosures across 1 branch office - a heavier-third raw book among graded firms (#141 of 20,055). Regulator-initiated events are 70% of the book (26 regulatory / 11 arbitration / 0 civil).
Osaic Services, Inc. ranks #141 of 20,055 by BrokerCheck disclosure count among graded firms (37 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Osaic Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Arizona cohort · 6.25× state average
Osaic Services, Inc. sits above the Arizona disclosure average
Osaic Services, Inc. reports 37 BrokerCheck disclosures, 6.25× the Arizona average of 5.9 across 25 graded firms with a principal-office state on file.
In Arizona, 17 firms carry Grade A and 1 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 Arizona state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Osaic Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Osaic Services, Inc. ranks #141 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #2 of 25 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 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 (regulatory, arbitration, or civil). Osaic Services, Inc.'s 37 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
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.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Osaic Services, Inc., both outside AZ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (37 here).
Read with this firm
- American Investment Services, Inc. - 37.00 disclosures/office, nearest single-office firm peer to Osaic Services, Inc.'s 37.00
- Crown Financial Group, Inc. - 36.00 disclosures/office, nearest single-office firm peer to Osaic Services, Inc.'s 37.00
- Emmett a Larkin Company, Inc. - 36.00 disclosures/office, nearest single-office firm peer to Osaic Services, Inc.'s 37.00
- Firms in AZ - state roster that includes Osaic Services, Inc.'s registration home.
- Red Flags in Advisor Records - How to read Osaic Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 37 disclosures behind Osaic Services, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Osaic Services, Inc..
- Compare firms - put Osaic 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.