Branch offices
0 offices
FINRA: Small firm
CRD #38095 · FINRA BrokerCheck + SEC IAPD
Woodstock Financial Group, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Woodstock Financial Group, Inc. ranks #545 of 20,055 by disclosure count (most disclosures first). Woodstock Financial Group, Inc. carries 13 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 13
- disclosures
- #545 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 38095 Woodstock Financial Group, Inc.
Woodstock Financial Group, Inc. · Grade D · 13 disc · 13.00/office · Single-office firm
- CRD 38095
- GRADE D
- DISC 13
- REG 6
- ARB 7
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #545 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Advanced Equities, Inc. (13.00 disc/office)
Woodstock Financial Group, Inc. ranks #545 of 20,055 by disclosure count among graded broker-dealers; heavy load at 13.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
13 events
On FINRA BrokerCheck
Regulatory events
6 actions
46% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 6 |
| Arbitrations | 7 |
| Civil Events | 0 |
| Total | 13 |
Counts for Woodstock Financial Group, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 6 Arbitration 7 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 38095
Heavy disclosure book
Woodstock Financial Group, Inc. in the heavier-disclosure third
Woodstock Financial Group, Inc. carries 13 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#545 of 20,055). Mix is 6 regulatory, 7 arbitration, and 0 civil (46% regulator share).
Woodstock Financial Group, Inc. ranks #545 of 20,055 by BrokerCheck disclosure count among graded firms (13 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Woodstock Financial Group, Inc.'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 Woodstock Financial Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Woodstock Financial Group, Inc. ranks #545 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 D mean for Woodstock Financial Group, Inc.?
A grade of D reflects Woodstock Financial Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 13 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Woodstock Financial Group, Inc. have?
Woodstock Financial Group, Inc. has 13 total FINRA disclosures, including 6 regulatory events, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Woodstock Financial Group, Inc.?
Woodstock Financial Group, Inc. 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 Woodstock Financial Group, Inc.'s disciplinary record?
You can verify Woodstock Financial Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 38095. 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). Woodstock Financial Group, Inc.'s 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Woodstock 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. Woodstock Financial Group, Inc. carries 13 disclosures across 0 branch offices (about 13.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Advanced Equities, Inc. - 13.00 disclosures/office, nearest single-office firm peer to Woodstock Financial Group, Inc.'s 13.00
- Barrett Securities Inc. - 13.00 disclosures/office, nearest single-office firm peer to Woodstock Financial Group, Inc.'s 13.00
- Burlington Capital Markets Inc. - 13.00 disclosures/office, nearest single-office firm peer to Woodstock Financial Group, Inc.'s 13.00
- Red Flags in Advisor Records - How to read Woodstock Financial Group, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 13 disclosures behind Woodstock Financial Group, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Woodstock Financial Group, Inc..
- Compare firms - put Woodstock 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.