Branch offices
2 offices
FINRA: Small firm
CRD #3538 · FINRA BrokerCheck + SEC IAPD
Sunset Financial Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sunset Financial Services, Inc. ranks #647 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #5 of 36 on the same disclosure sort used on the state browse page. Sunset Financial Services, Inc. carries 11 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade C.
- Grade C
- Safety grade
- 2
- branch offices
- 11
- disclosures
- #647 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 3538 Sunset Financial Services, Inc.
Sunset Financial Services, Inc. · Grade C · 11 disc · 5.50/office · Small firm
- CRD 3538
- GRADE C
- DISC 11
- REG 9
- ARB 2
- CIV 0
- BRANCH 2
- PER-OFF 5.50
- RANK #647 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Colonial Securities, Inc. (5.50 disc/office)
Sunset Financial Services, Inc. ranks #647 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.50 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
Total disclosures
11 events
On FINRA BrokerCheck
Regulatory events
9 actions
82% of all disclosures
Disclosures per office
5.50 per office
11 ÷ 2 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Sunset Financial Services, Inc. - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 9 |
| Arbitrations | 2 |
| Civil Events | 0 |
| Total | 11 |
Counts for Sunset Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 9 Arbitration 2 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Kansas City, MO
- CRD Number
- 3538
Regulator-heavy mix
Sunset Financial Services, Inc. in the heavier-disclosure third
Sunset Financial Services, Inc. carries 11 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#647 of 20,055). Regulator-initiated events are 82% of the book (9 regulatory / 2 arbitration / 0 civil).
82% of Sunset Financial Services, Inc.'s 11 disclosures are regulator-initiated (9 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Sunset Financial Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Missouri cohort · 0.32× state average
Sunset Financial Services, Inc. sits below the Missouri disclosure average
Sunset Financial Services, Inc. reports 11 BrokerCheck disclosures, 0.32× the Missouri average of 34.3, lighter than most of the 36 graded firms filed there.
In Missouri, 9 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 Missouri state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Sunset Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sunset Financial Services, Inc. ranks #647 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #5 of 36 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 Sunset Financial Services, Inc.?
A grade of C reflects Sunset Financial Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 11 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sunset Financial Services, Inc. have?
Sunset Financial Services, Inc. has 11 total FINRA disclosures, including 9 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sunset Financial Services, Inc.?
Sunset Financial Services, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in MO (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 Sunset Financial Services, Inc.'s disciplinary record?
You can verify Sunset Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3538. 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). Sunset Financial Services, Inc.'s 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Sunset Financial Services, Inc. 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. Sunset Financial Services, Inc. carries 11 disclosures across 2 branch offices (about 5.50 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 Sunset Financial Services, Inc., both outside MO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (11 here).
Read with this firm
- Colonial Securities, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Sunset Financial Services, Inc.'s 5.50
- Liquidnet, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Sunset Financial Services, Inc.'s 5.50
- GTS Securities LLC (FL) - 5.43 disclosures/office, nearest small firm peer to Sunset Financial Services, Inc.'s 5.50
- Firms in MO - state roster that includes Sunset Financial Services, Inc.'s registration home.
- Red Flags in Advisor Records - How to read Sunset Financial Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 11 disclosures behind Sunset Financial Services, Inc.'s Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Sunset Financial Services, Inc..
- Compare firms - put Sunset Financial Services, Inc. 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.