CRD #150631 · FINRA BrokerCheck + SEC IAPD

Regulus Financial Group, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Regulus Financial Group, LLC ranks #1,527 of 20,055 by disclosure count (most disclosures first). Among firms registered in MI, it ranks #7 of 39 on the same disclosure sort used on the state browse page. Regulus Financial Group, LLC carries 5 BrokerCheck disclosures across 71 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
71
branch offices
5
disclosures
#1,527 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 150631 Regulus Financial Group, LLC

Regulus Financial Group, LLC · Grade B · 5 disc · 0.07/office · Mid-sized firm

  • CRD 150631
  • GRADE B
  • DISC 5
  • REG 5
  • ARB 0
  • CIV 0
  • BRANCH 71
  • PER-OFF 0.07
  • RANK #1,527 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: KCD Financial, Inc. (0.07 disc/office)

KCD Financial, Inc.0.07Hightower Securities, LLC0.07Advisors Asset Manageme…0.08Regulus Financial G… (this)0.07
Disclosures per office among mid-sized firm peers (lower is cleaner)

Regulus Financial Group, LLC ranks #1,527 of 20,055 by disclosure count among graded broker-dealers; light load at 0.07 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

71 offices

FINRA: Small firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

5 actions

100% of all disclosures

Disclosures per office

0.07 per office

5 ÷ 71 offices

Regulus Financial Group, LLC 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 90% 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 5
Arbitrations 0
Civil Events 0
Total 5

Counts for Regulus Financial Group, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Kentwood, MI
CRD Number
150631

Regulator-heavy mix

Regulus Financial Group, LLC in the heavier-disclosure third

Regulus Financial Group, LLC carries 5 BrokerCheck disclosures across 71 branch offices - a heavier-third raw book among graded firms (#1,527 of 20,055). Regulator-initiated events are 100% of the book (5 regulatory / 0 arbitration / 0 civil).

100% of Regulus Financial Group, LLC's 5 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Regulus Financial Group, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Michigan cohort · 1.81× state average

Regulus Financial Group, LLC sits above the Michigan disclosure average

Regulus Financial Group, LLC reports 5 BrokerCheck disclosures, 1.81× the Michigan average of 2.8 across 39 graded firms with a principal-office state on file.

In Michigan, 21 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 Michigan state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Regulus Financial Group, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Regulus Financial Group, LLC ranks #1,527 of 20,055 by disclosure count (most disclosures first). Among firms registered in MI, it ranks #7 of 39 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 Regulus Financial Group, LLC?
A grade of B reflects Regulus Financial Group, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 5 total disclosures across 71 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Regulus Financial Group, LLC have?
Regulus Financial Group, LLC has 5 total FINRA disclosures, including 5 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Regulus Financial Group, LLC?
Regulus Financial Group, LLC operates 71 branch offices and is classified by FINRA as a small firm, registered in MI (Mid-sized 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 Regulus Financial Group, LLC's disciplinary record?
You can verify Regulus Financial Group, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 150631. 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). Regulus Financial Group, LLC's 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Regulus Financial Group, LLC 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. Regulus Financial Group, LLC carries 5 disclosures across 71 branch offices (about 0.07 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 Regulus Financial Group, LLC, both outside MI so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • KCD Financial, Inc. (WI) - 0.07 disclosures/office, nearest mid-sized firm peer to Regulus Financial Group, LLC's 0.07
  • Hightower Securities, LLC (IL) - 0.07 disclosures/office, nearest mid-sized firm peer to Regulus Financial Group, LLC's 0.07
  • Advisors Asset Management, Inc. (CO) - 0.08 disclosures/office, nearest mid-sized firm peer to Regulus Financial Group, LLC's 0.07
  • Firms in MI - state roster that includes Regulus Financial Group, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Regulus Financial Group, LLC.
  • Reading BrokerCheck Reports - How Regulus Financial Group, LLC's 0.07 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Regulus Financial Group, LLC.
  • Compare firms - put Regulus Financial Group, LLC 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.