CRD #126514 · FINRA BrokerCheck + SEC IAPD

THE Strategic Financial Alliance, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Strategic Financial Alliance, Inc. ranks #4,882 of 20,055 by disclosure count (most disclosures first). Among firms registered in GA, it ranks #19 of 58 on the same disclosure sort used on the state browse page. THE Strategic Financial Alliance, Inc. carries 1 BrokerCheck disclosure across 66 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
66
branch offices
1
disclosure
#4,882 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 126514 THE Strategic Financial Alliance, Inc.

THE Strategic Financial Alliance, Inc. · Grade B · 1 disc · 0.02/office · Mid-sized firm

  • CRD 126514
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 66
  • PER-OFF 0.02
  • RANK #4,882 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Founders Financial Securities LLC (0.01 disc/office)

Founders Financial Secu…0.01Gradient Securities, LLC0.01Kingswood Capital Partn…0.01THE Strategic Finan… (this)0.02
Disclosures per office among mid-sized firm peers (lower is cleaner)

THE Strategic Financial Alliance, Inc. ranks #4,882 of 20,055 by disclosure count among graded broker-dealers; light load at 0.02 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

66 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.02 per office

1 ÷ 66 offices

THE Strategic Financial Alliance, Inc. 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 96% of 1,251 disclosing firms

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

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

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Atlanta, GA
CRD Number
126514

Regulator-heavy mix

THE Strategic Financial Alliance, Inc. in the heavier-disclosure third

THE Strategic Financial Alliance, Inc. carries 1 BrokerCheck disclosure across 66 branch offices - a heavier-third raw book among graded firms (#4,882 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of THE Strategic Financial Alliance, Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Georgia cohort · 0.39× state average

THE Strategic Financial Alliance, Inc. tracks near the Georgia disclosure average

THE Strategic Financial Alliance, Inc. reports 1 BrokerCheck disclosure, about 0.39× the Georgia average of 2.6 across 58 graded firms.

In Georgia, 38 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 Georgia state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does THE Strategic Financial Alliance, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Strategic Financial Alliance, Inc. ranks #4,882 of 20,055 by disclosure count (most disclosures first). Among firms registered in GA, it ranks #19 of 58 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 Strategic Financial Alliance, Inc.?
A grade of B reflects THE Strategic Financial Alliance, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 1 total disclosure across 66 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does THE Strategic Financial Alliance, Inc. have?
THE Strategic Financial Alliance, Inc. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is THE Strategic Financial Alliance, Inc.?
THE Strategic Financial Alliance, Inc. operates 66 branch offices and is classified by FINRA as a small firm, registered in GA (Mid-sized 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 Strategic Financial Alliance, Inc.'s disciplinary record?
You can verify THE Strategic Financial Alliance, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 126514. 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 THE Strategic Financial Alliance, 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 Strategic Financial Alliance, Inc. carries 1 disclosure across 66 branch offices (about 0.02 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 Strategic Financial Alliance, Inc., both outside GA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Founders Financial Securities LLC (MD) - 0.01 disclosures/office, nearest mid-sized firm peer to THE Strategic Financial Alliance, Inc.'s 0.02
  • Gradient Securities, LLC (MN) - 0.01 disclosures/office, nearest mid-sized firm peer to THE Strategic Financial Alliance, Inc.'s 0.02
  • Kingswood Capital Partners, LLC (CA) - 0.01 disclosures/office, nearest mid-sized firm peer to THE Strategic Financial Alliance, Inc.'s 0.02
  • Firms in GA - state roster that includes THE Strategic Financial Alliance, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like THE Strategic Financial Alliance, Inc..
  • Reading BrokerCheck Reports - How THE Strategic Financial Alliance, Inc.'s 0.02 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to THE Strategic Financial Alliance, Inc..
  • Compare firms - put THE Strategic Financial Alliance, 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.