Branch offices
2 offices
FINRA: Small firm
CRD #324510 · FINRA BrokerCheck + SEC IAPD
Pfal Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pfal Securities, Inc. ranks #15,551 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #222 of 279 on the same disclosure sort used on the state browse page. Pfal Securities, Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #15,551 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 324510 Pfal Securities, Inc.
Pfal Securities, Inc. · Grade A · 0 disc · 0.00/office · Small firm
- CRD 324510
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #15,551 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Pfal Securities, Inc. ranks #15,551 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
Pfal Securities, Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Mill Valley, CA, 94941
- Formed
- 10/21/2022
- State of Formation
- Delaware
- CRD Number
- 324510
- SEC Number
- 71029
Clean BrokerCheck surface
Pfal Securities, Inc.'s clean BrokerCheck surface
Pfal Securities, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Pfal Securities, Inc. shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Pfal Securities, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
California cohort · 0.00× state average
Pfal Securities, Inc. sits below the California disclosure average
Pfal Securities, Inc. reports 0 BrokerCheck disclosures, 0.00× the California average of 2.1, lighter than most of the 279 graded firms filed there.
In California, 189 firms carry Grade A and 0 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 California state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Pfal Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pfal Securities, Inc. ranks #15,551 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #222 of 279 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 A mean for Pfal Securities, Inc.?
A grade of A means Pfal Securities, Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Pfal Securities, Inc. have?
Pfal Securities, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Pfal Securities, Inc.?
Pfal Securities, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in CA (Small 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 Pfal Securities, Inc.'s disciplinary record?
You can verify Pfal Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 324510. 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 BrokerCheck record. Pfal Securities, Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Pfal Securities, Inc.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Pfal Securities, Inc.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Pfal Securities, Inc.'s 0.00
- Firms in CA - state roster that includes Pfal Securities, Inc.'s registration home.
- How to Vet a Financial Advisor - Use Pfal Securities, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Pfal Securities, Inc.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Pfal Securities, Inc..
- Compare firms - put Pfal Securities, Inc. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
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.