CRD #686 · FINRA BrokerCheck + SEC IAPD

Quincy Cass Associates, Incorporated

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Quincy Cass Associates, Incorporated ranks #1,288 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #18 of 279 on the same disclosure sort used on the state browse page. Quincy Cass Associates, Incorporated carries 6 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
2
branch offices
6
disclosures
#1,288 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 686 Quincy Cass Associates, Incorporated

Quincy Cass Associates, Incorporated · Grade C · 6 disc · 3.00/office · Small firm

  • CRD 686
  • GRADE C
  • DISC 6
  • REG 6
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 3.00
  • RANK #1,288 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Banyan Securities, LLC (3.00 disc/office)

Banyan Securities, LLC3.00Buell Securities Corp.3.00C. L. King & Associates…3.00Quincy Cass Associa… (this)3.00
Disclosures per office among small firm peers (lower is cleaner)

Quincy Cass Associates, Incorporated ranks #1,288 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

2 offices

FINRA: Small firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

6 actions

100% of all disclosures

Disclosures per office

3.00 per office

6 ÷ 2 offices

Quincy Cass Associates, Incorporated 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 6
Arbitrations 0
Civil Events 0
Total 6

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

Disclosure category share

Regulatory 6 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Los Angeles, CA, 90025
Formed
02/14/1933
State of Formation
California
CRD Number
686
SEC Number
5743

Regulator-heavy mix

Quincy Cass Associates, Incorporated in the heavier-disclosure third

Quincy Cass Associates, Incorporated carries 6 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#1,288 of 20,055). Regulator-initiated events are 100% of the book (6 regulatory / 0 arbitration / 0 civil).

100% of Quincy Cass Associates, Incorporated's 6 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Quincy Cass Associates, Incorporated's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

California cohort · 2.93× state average

Quincy Cass Associates, Incorporated sits above the California disclosure average

Quincy Cass Associates, Incorporated reports 6 BrokerCheck disclosures, 2.93× the California average of 2.1 across 279 graded firms with a principal-office state on file.

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 Quincy Cass Associates, Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Quincy Cass Associates, Incorporated ranks #1,288 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #18 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 C mean for Quincy Cass Associates, Incorporated?
A grade of C reflects Quincy Cass Associates, Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 6 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Quincy Cass Associates, Incorporated have?
Quincy Cass Associates, Incorporated has 6 total FINRA disclosures, including 6 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Quincy Cass Associates, Incorporated?
Quincy Cass Associates, Incorporated 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 Quincy Cass Associates, Incorporated's disciplinary record?
You can verify Quincy Cass Associates, Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 686. 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). Quincy Cass Associates, Incorporated's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Quincy Cass Associates, Incorporated 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. Quincy Cass Associates, Incorporated carries 6 disclosures across 2 branch offices (about 3.00 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 Quincy Cass Associates, Incorporated, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Banyan Securities, LLC (CA) - 3.00 disclosures/office, nearest small firm peer to Quincy Cass Associates, Incorporated's 3.00
  • Buell Securities Corp. (CT) - 3.00 disclosures/office, nearest small firm peer to Quincy Cass Associates, Incorporated's 3.00
  • C. L. King & Associates, Inc. (NY) - 3.00 disclosures/office, nearest small firm peer to Quincy Cass Associates, Incorporated's 3.00
  • Firms in CA - state roster that includes Quincy Cass Associates, Incorporated's registration home.
  • Red Flags in Advisor Records - How to read Quincy Cass Associates, Incorporated's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 6 disclosures behind Quincy Cass Associates, Incorporated's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Quincy Cass Associates, Incorporated.
  • Compare firms - put Quincy Cass Associates, Incorporated 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.

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.