Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

CRD #46035 · FINRA BrokerCheck + SEC IAPD

Synergy Investment Group, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Synergy Investment Group, LLC ranks #797 of 20,055 by disclosure count (most disclosures first). Synergy Investment Group, LLC carries 9 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade C.

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Grade C
Safety grade
2
branch offices
9
disclosures
#797 of 20,055
disclosure rank · graded

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

9 events

On FINRA BrokerCheck

Regulatory events

7 actions

78% of all disclosures

Disclosures per office

4.50 per office

9 ÷ 2 offices

Synergy Investment Group, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

5 a cleaner per-office record than 0% 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%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). Below this entry. 4–4: 3 disclosing firms (0%). Below this entry. 4–4: 9 disclosing firms (1%). Below this entry. 4–5: 3 disclosing firms (0%). Below this entry. 5–5: 11 disclosing firms (1%). This entry sits in this band. 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 7
Arbitrations 2
Civil Events 0
Total 9

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 7 Arbitration 2 Civil 0

Disclosure Profile

Synergy Investment Group, LLC's disclosure record, broken down by category and footprint.

Disclosures per office
4.50
Heavy load
Regulatory share
78%
of total disclosures
Size class
Small firm
2 branches

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
46035

Verify at FINRA BrokerCheck

FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.

View on FINRA BrokerCheck ↗

What the Record Says About Synergy Investment Group, LLC

Synergy Investment Group, LLC (broker-dealer, CRD# 46035) operates 2 branch offices - a small firm (FINRA: small), scope INACTIVE.

BrokerCheck shows 9 disclosures as of July 2026 (about 4.50 per branch office): 7 regulatory, 2 arbitration, 0 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Synergy Investment Group, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Synergy Investment Group, LLC ranks #797 of 20,055 by disclosure count (most disclosures first). 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 Synergy Investment Group, LLC?
A grade of C reflects Synergy Investment Group, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 9 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Synergy Investment Group, LLC have?
Synergy Investment Group, LLC has 9 total FINRA disclosures, including 7 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Synergy Investment Group, LLC?
Synergy Investment Group, LLC operates 2 branch offices and is classified by FINRA as a small firm (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 Synergy Investment Group, LLC's disciplinary record?
You can verify Synergy Investment Group, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 46035. 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 Synergy Investment 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. Synergy Investment Group, LLC carries 9 disclosures across 2 branch offices (about 4.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Bluefin Capital Management, LLC (NY) - 4.50 disclosures/office, nearest small firm peer to Synergy Investment Group, LLC's 4.50
  • Commerz Markets LLC (NY) - 4.50 disclosures/office, nearest small firm peer to Synergy Investment Group, LLC's 4.50
  • Gelber Securities, LLC (IL) - 4.50 disclosures/office, nearest small firm peer to Synergy Investment Group, LLC's 4.50
  • Red Flags in Advisor Records - How to read Synergy Investment Group, LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 9 disclosures behind Synergy Investment Group, LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Synergy Investment Group, LLC.
  • Compare firms - put Synergy Investment Group, LLC next to peers on grade and footprint.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.