CRD #26153 · FINRA BrokerCheck + SEC IAPD

THE Rockwell Financial Group, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Rockwell Financial Group, Inc. ranks #2,435 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #196 of 868 on the same disclosure sort used on the state browse page. THE Rockwell Financial Group, Inc. carries 3 BrokerCheck disclosures across 3 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
3
branch offices
3
disclosures
#2,435 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 26153 THE Rockwell Financial Group, Inc.

THE Rockwell Financial Group, Inc. · Grade B · 3 disc · 1.00/office · Small firm

  • CRD 26153
  • GRADE B
  • DISC 3
  • REG 2
  • ARB 1
  • CIV 0
  • BRANCH 3
  • PER-OFF 1.00
  • RANK #2,435 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00THE Rockwell Financ… (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

THE Rockwell Financial Group, Inc. ranks #2,435 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 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

3 events

On FINRA BrokerCheck

Regulatory events

2 actions

67% of all disclosures

Disclosures per office

1.00 per office

3 ÷ 3 offices

THE Rockwell Financial 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 24% 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%). This entry sits in this band. 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 2
Arbitrations 1
Civil Events 0
Total 3

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

Disclosure category share

Regulatory 2 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Hicksville, NY
CRD Number
26153

Elevated disclosures per office

THE Rockwell Financial Group, Inc. in the heavier-disclosure third

THE Rockwell Financial Group, Inc. carries 3 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#2,435 of 20,055). Regulator-initiated events are 67% of the book (2 regulatory / 1 arbitration / 0 civil).

THE Rockwell Financial Group, Inc. runs 1.00 disclosures per branch office (cleaner than only 76% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.34× state average

THE Rockwell Financial Group, Inc. sits below the New York disclosure average

THE Rockwell Financial Group, Inc. reports 3 BrokerCheck disclosures, 0.34× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does THE Rockwell Financial Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Rockwell Financial Group, Inc. ranks #2,435 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #196 of 868 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 Rockwell Financial Group, Inc.?
A grade of B reflects THE Rockwell Financial Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 3 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does THE Rockwell Financial Group, Inc. have?
THE Rockwell Financial Group, Inc. has 3 total FINRA disclosures, including 2 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is THE Rockwell Financial Group, Inc.?
THE Rockwell Financial Group, Inc. operates 3 branch offices and is classified by FINRA as a small firm, registered in NY (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 THE Rockwell Financial Group, Inc.'s disciplinary record?
You can verify THE Rockwell Financial Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 26153. 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 BrokerCheck. For THE Rockwell Financial Group, Inc., the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid THE Rockwell Financial 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 Rockwell Financial Group, Inc. carries 3 disclosures across 3 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Access Securities, LLC (CT) - 1.00 disclosures/office, nearest small firm peer to THE Rockwell Financial Group, Inc.'s 1.00
  • ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to THE Rockwell Financial Group, Inc.'s 1.00
  • Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to THE Rockwell Financial Group, Inc.'s 1.00
  • Firms in NY - state roster that includes THE Rockwell Financial Group, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read THE Rockwell Financial Group, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 3 disclosures behind THE Rockwell Financial Group, Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as THE Rockwell Financial Group, Inc..
  • Compare firms - put THE Rockwell Financial 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.