CRD #10370 · FINRA BrokerCheck + SEC IAPD

Oshima & Associates

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oshima & Associates ranks #2,314 of 20,055 by disclosure count (most disclosures first). Oshima & Associates carries 3 BrokerCheck disclosures across 1 branch office - heavy load for a single-office firm, earning a Grade C.

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Grade C
Safety grade
1
branch office
3
disclosures
#2,314 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 10370 Oshima & Associates

Oshima & Associates · Grade C · 3 disc · 3.00/office · Single-office firm

  • CRD 10370
  • GRADE C
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 3.00
  • RANK #2,314 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: A. B. Culbertson and Company (3.00 disc/office)

A. B. Culbertson and Co…3.00A. Gary Shilling & Co.,…3.00Abner Herrman & Brock, LLC3.00Oshima & Associates (this)3.00
Disclosures per office among single-office firm peers (lower is cleaner)

Oshima & Associates ranks #2,314 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

1 office

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

3.00 per office

3 ÷ 1 offices

Oshima & Associates vs. every disclosing firm

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

3 a cleaner per-office record than 4% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 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 3
Arbitrations 0
Civil Events 0
Total 3

Counts for Oshima & Associates reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
03/01/1980
State of Formation
Massachusetts
CRD Number
10370
SEC Number
27123

Regulator-heavy mix

Oshima & Associates in the heavier-disclosure third

Oshima & Associates carries 3 BrokerCheck disclosures across 1 branch office - a heavier-third raw book among graded firms (#2,314 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of Oshima & Associates's 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Oshima & Associates'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 Oshima & Associates sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oshima & Associates ranks #2,314 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 C mean for Oshima & Associates?
A grade of C reflects Oshima & Associates's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 3 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Oshima & Associates have?
Oshima & Associates has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Oshima & Associates?
Oshima & Associates operates 1 branch office 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 Oshima & Associates's disciplinary record?
You can verify Oshima & Associates's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10370. 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 BrokerCheck. For Oshima & Associates, the 3.00 per-office intensity is the size-normalized signal behind Grade C.
Should I avoid Oshima & Associates 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. Oshima & Associates carries 3 disclosures across 1 branch office (about 3.00 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.