CRD #23131 · FINRA BrokerCheck + SEC IAPD

Osaic Wealth, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Osaic Wealth, Inc. ranks #53 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #1 of 25 on the same disclosure sort used on the state browse page. Osaic Wealth, Inc. carries 82 BrokerCheck disclosures across 5,899 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
5,899
branch offices
82
disclosures
#53 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 23131 Osaic Wealth, Inc.

Osaic Wealth, Inc. · Grade B · 82 disc · 0.01/office · National firm

  • CRD 23131
  • GRADE B
  • DISC 82
  • REG 51
  • ARB 31
  • CIV 0
  • BRANCH 5,899
  • PER-OFF 0.01
  • RANK #53 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Equitable Advisors, LLC (0.02 disc/office)

Equitable Advisors, LLC0.02Ameriprise Financial Se…0.01PNC Wealth Management LLC0.01Osaic Wealth, Inc. (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

Osaic Wealth, Inc. ranks #53 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

5,899 offices

FINRA: Large firm

Total disclosures

82 events

On FINRA BrokerCheck

Regulatory events

51 actions

62% of all disclosures

Disclosures per office

0.01 per office

82 ÷ 5,899 offices

Osaic Wealth, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 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 51
Arbitrations 31
Civil Events 0
Total 82

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

Disclosure category share

Regulatory 51 Arbitration 31 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Scottsdale, AZ, 85255
Formed
08/05/1988
State of Formation
Delaware
CRD Number
23131
SEC Number
40218

Lower disclosures per office

Osaic Wealth, Inc. in the heavier-disclosure third

Osaic Wealth, Inc. carries 82 BrokerCheck disclosures across 5,899 branch offices - a heavier-third raw book among graded firms (#53 of 20,055). Regulator-initiated events are 62% of the book (51 regulatory / 31 arbitration / 0 civil).

Osaic Wealth, Inc. runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Osaic Wealth, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Arizona cohort · 14× state average

Osaic Wealth, Inc. sits above the Arizona disclosure average

Osaic Wealth, Inc. reports 82 BrokerCheck disclosures, 14× 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 Wealth, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Osaic Wealth, Inc. ranks #53 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #1 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 B mean for Osaic Wealth, Inc.?
A grade of B reflects Osaic Wealth, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 82 total disclosures across 5,899 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Osaic Wealth, Inc. have?
Osaic Wealth, Inc. has 82 total FINRA disclosures, including 51 regulatory events, 31 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Osaic Wealth, Inc.?
Osaic Wealth, Inc. operates 5,899 branch offices and is classified by FINRA as a large firm, registered in AZ (National 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 Wealth, Inc.'s disciplinary record?
You can verify Osaic Wealth, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 23131. 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 Wealth, Inc.'s 82 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Osaic Wealth, 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 Wealth, Inc. carries 82 disclosures across 5,899 branch offices (about 0.01 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 Wealth, Inc., both outside AZ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.