CRD #42941 · FINRA BrokerCheck + SEC IAPD

THE OAK Ridge Financial Services Group, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE OAK Ridge Financial Services Group, Inc. ranks #714 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #9 of 42 on the same disclosure sort used on the state browse page. THE OAK Ridge Financial Services Group, Inc. carries 10 BrokerCheck disclosures across 11 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
11
branch offices
10
disclosures
#714 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 42941 THE OAK Ridge Financial Services Group, Inc.

THE OAK Ridge Financial Services Group, Inc. · Grade B · 10 disc · 0.91/office · Regional firm

  • CRD 42941
  • GRADE B
  • DISC 10
  • REG 8
  • ARB 2
  • CIV 0
  • BRANCH 11
  • PER-OFF 0.91
  • RANK #714 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: American Enterprise Investment Services Inc. (0.91 disc/office)

American Enterprise Inv…0.91Nationwide Securities, LLC0.87Scotia Capital (USA) Inc.0.82THE OAK Ridge Finan… (this)0.91
Disclosures per office among regional firm peers (lower is cleaner)

THE OAK Ridge Financial Services Group, Inc. ranks #714 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.91 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

11 offices

FINRA: Small firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

8 actions

80% of all disclosures

Disclosures per office

0.91 per office

10 ÷ 11 offices

THE OAK Ridge Financial Services Group, Inc. vs. every disclosing firm

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

1 a cleaner per-office record than 35% 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%). This entry sits in this band. 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 8
Arbitrations 2
Civil Events 0
Total 10

Counts for THE OAK Ridge Financial Services Group, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 8 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Golden Valley, MN
CRD Number
42941

Regulator-heavy mix

THE OAK Ridge Financial Services Group, Inc. in the heavier-disclosure third

THE OAK Ridge Financial Services Group, Inc. carries 10 BrokerCheck disclosures across 11 branch offices - a heavier-third raw book among graded firms (#714 of 20,055). Regulator-initiated events are 80% of the book (8 regulatory / 2 arbitration / 0 civil).

80% of THE OAK Ridge Financial Services Group, Inc.'s 10 disclosures are regulator-initiated (8 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Minnesota cohort · 0.76× state average

THE OAK Ridge Financial Services Group, Inc. tracks near the Minnesota disclosure average

THE OAK Ridge Financial Services Group, Inc. reports 10 BrokerCheck disclosures, about 0.76× the Minnesota average of 13.1 across 42 graded firms.

In Minnesota, 18 firms carry Grade A and 1 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 Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does THE OAK Ridge Financial Services Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE OAK Ridge Financial Services Group, Inc. ranks #714 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #9 of 42 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 THE OAK Ridge Financial Services Group, Inc.?
A grade of B reflects THE OAK Ridge Financial Services Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 10 total disclosures across 11 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does THE OAK Ridge Financial Services Group, Inc. have?
THE OAK Ridge Financial Services Group, Inc. has 10 total FINRA disclosures, including 8 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is THE OAK Ridge Financial Services Group, Inc.?
THE OAK Ridge Financial Services Group, Inc. operates 11 branch offices and is classified by FINRA as a small firm, registered in MN (Regional 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 THE OAK Ridge Financial Services Group, Inc.'s disciplinary record?
You can verify THE OAK Ridge Financial Services Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 42941. 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). THE OAK Ridge Financial Services Group, Inc.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid THE OAK Ridge Financial Services Group, 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. THE OAK Ridge Financial Services Group, Inc. carries 10 disclosures across 11 branch offices (about 0.91 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 THE OAK Ridge Financial Services Group, Inc., both outside MN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • American Enterprise Investment Services Inc. (MN) - 0.91 disclosures/office, nearest regional firm peer to THE OAK Ridge Financial Services Group, Inc.'s 0.91
  • Nationwide Securities, LLC (OH) - 0.87 disclosures/office, nearest regional firm peer to THE OAK Ridge Financial Services Group, Inc.'s 0.91
  • Scotia Capital (USA) Inc. (NY) - 0.82 disclosures/office, nearest regional firm peer to THE OAK Ridge Financial Services Group, Inc.'s 0.91
  • Firms in MN - state roster that includes THE OAK Ridge Financial Services Group, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like THE OAK Ridge Financial Services Group, Inc..
  • Reading BrokerCheck Reports - How THE OAK Ridge Financial Services Group, Inc.'s 0.91 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to THE OAK Ridge Financial Services Group, Inc..
  • Compare firms - put THE OAK Ridge Financial Services Group, 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.