Branch offices
0 offices
FINRA: Small firm
CRD #45088 · FINRA BrokerCheck + SEC IAPD
University Alumni Funds LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, University Alumni Funds LLC ranks #4,951 of 20,055 by disclosure count (most disclosures first). University Alumni Funds LLC carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 1
- disclosure
- #4,951 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 45088 University Alumni Funds LLC
University Alumni Funds LLC · Grade B · 1 disc · 1.00/office · Single-office firm
- CRD 45088
- GRADE B
- DISC 1
- REG 1
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #4,951 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)
University Alumni Funds LLC ranks #4,951 of 20,055 by disclosure count among graded broker-dealers; heavy 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
Total disclosures
1 event
On FINRA BrokerCheck
Regulatory events
1 action
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 1 |
Counts for University Alumni Funds LLC 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
- INACTIVE
- Formed
- 10/13/1996
- State of Formation
- Delaware
- CRD Number
- 45088
- SEC Number
- 50960
Regulator-heavy mix
University Alumni Funds LLC in the heavier-disclosure third
University Alumni Funds LLC carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#4,951 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).
100% of University Alumni Funds LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of University Alumni Funds LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does University Alumni Funds LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, University Alumni Funds LLC ranks #4,951 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 B mean for University Alumni Funds LLC?
A grade of B reflects University Alumni Funds LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does University Alumni Funds LLC have?
University Alumni Funds LLC 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 University Alumni Funds LLC?
University Alumni Funds LLC operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 University Alumni Funds LLC's disciplinary record?
You can verify University Alumni Funds LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 45088. 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 University Alumni Funds 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. University Alumni Funds LLC carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to University Alumni Funds LLC's 1.00
- 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to University Alumni Funds LLC's 1.00
- 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to University Alumni Funds LLC's 1.00
- Red Flags in Advisor Records - How to read University Alumni Funds LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 1 disclosure behind University Alumni Funds LLC's Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as University Alumni Funds LLC.
- Compare firms - put University Alumni Funds LLC 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.