Original data research from the PlainAdvisorCheck editorial team. Every page derives at least one statistic from our own database, cites primary sources inline, and documents its methodology and limits.
SEC IAPD and FINRA data shows UBS Financial Services (925 disclosures) JP Morgan Securities (546) and Edward Jones (318) leading US advisor firms by regulatory disclosure count — with 1904 of 27152 tracked firms graded F for regulatory history.
SEC IAPD state rollups show South Carolina (57.4 disclosures per firm) Arkansas (53.0) and Missouri (31.6) leading US states in advisor regulatory-event density — driven by headquarter concentrations of large multi-office broker-dealers.
PlainAdvisorCheck grade distribution shows 25248 A-grade firms and 1904 F-grade firms across 27152 tracked SEC IAPD and FINRA BrokerCheck registrants — a 93-to-7 percent distribution that concentrates regulatory risk in a small firm tail.