CRD #111392 · FINRA BrokerCheck + SEC IAPD

Retirement Plan Advisors Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Retirement Plan Advisors Services, LLC ranks #4,654 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #100 of 200 on the same disclosure sort used on the state browse page. Retirement Plan Advisors Services, LLC carries 1 BrokerCheck disclosure across 3 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
3
branch offices
1
disclosure
#4,654 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 111392 Retirement Plan Advisors Services, LLC

Retirement Plan Advisors Services, LLC · Grade B · 1 disc · 0.33/office · Small firm

  • CRD 111392
  • GRADE B
  • DISC 1
  • REG 0
  • ARB 1
  • CIV 0
  • BRANCH 3
  • PER-OFF 0.33
  • RANK #4,654 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: ABN Amro Capital Markets (USA) LLC (0.33 disc/office)

ABN Amro Capital Market…0.33Accrued Equities Inc.0.33AMG Distributors, Inc.0.33Retirement Plan Adv… (this)0.33
Disclosures per office among small firm peers (lower is cleaner)

Retirement Plan Advisors Services, LLC ranks #4,654 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.33 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

3 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

0 actions

0% of all disclosures

Disclosures per office

0.33 per office

1 ÷ 3 offices

Retirement Plan Advisors Services, 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 71% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 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 0
Arbitrations 1
Civil Events 0
Total 1

Counts for Retirement Plan Advisors Services, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 0 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Chicago, IL
CRD Number
111392

Customer-facing mix

Retirement Plan Advisors Services, LLC in the heavier-disclosure third

Retirement Plan Advisors Services, LLC carries 1 BrokerCheck disclosure across 3 branch offices - a heavier-third raw book among graded firms (#4,654 of 20,055). Customer-facing events dominate: 1 arbitration and 0 civil versus 0 regulatory (0% regulator share).

Only 0% of Retirement Plan Advisors Services, LLC's disclosures are regulator-initiated; arbitrations (1) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Retirement Plan Advisors Services, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 0.20× state average

Retirement Plan Advisors Services, LLC sits below the Illinois disclosure average

Retirement Plan Advisors Services, LLC reports 1 BrokerCheck disclosure, 0.20× the Illinois average of 5.1, lighter than most of the 200 graded firms filed there.

In Illinois, 99 firms carry Grade A and 8 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 Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Retirement Plan Advisors Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Retirement Plan Advisors Services, LLC ranks #4,654 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #100 of 200 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 Retirement Plan Advisors Services, LLC?
A grade of B reflects Retirement Plan Advisors Services, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Retirement Plan Advisors Services, LLC have?
Retirement Plan Advisors Services, LLC has 1 total FINRA disclosure, including 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Retirement Plan Advisors Services, LLC?
Retirement Plan Advisors Services, LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in IL (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 Retirement Plan Advisors Services, LLC's disciplinary record?
You can verify Retirement Plan Advisors Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 111392. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Retirement Plan Advisors Services, 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. Retirement Plan Advisors Services, LLC carries 1 disclosure across 3 branch offices (about 0.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • ABN Amro Capital Markets (USA) LLC (NY) - 0.33 disclosures/office, nearest small firm peer to Retirement Plan Advisors Services, LLC's 0.33
  • Accrued Equities Inc. (NY) - 0.33 disclosures/office, nearest small firm peer to Retirement Plan Advisors Services, LLC's 0.33
  • AMG Distributors, Inc. (CT) - 0.33 disclosures/office, nearest small firm peer to Retirement Plan Advisors Services, LLC's 0.33
  • Firms in IL - state roster that includes Retirement Plan Advisors Services, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Retirement Plan Advisors Services, LLC.
  • Reading BrokerCheck Reports - How Retirement Plan Advisors Services, LLC's 0.33 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Retirement Plan Advisors Services, LLC.
  • Compare firms - put Retirement Plan Advisors Services, 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.