State BrokerCheck inventory · July 2026

Arizona broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Arizona ranks #21 of 56 by registered-firm inventory (25) and #17 of 56 by aggregate disclosure load (148), then #7 of 33 on disclosures-per-firm and #7 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#21
of 56 by firm inventory
25
registered firms
148
disclosures on file
5.9
avg disclosures / firm

Arizona at a glance

According to FINRA BrokerCheck as of July 2026, Arizona ranks #21 of 56 by registered-firm inventory (25) and #17 of 56 by aggregate disclosure load (148), then #7 of 33 on disclosures-per-firm and #7 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#21 of 56
registered-firm inventory
#17 of 56
aggregate disclosure load
#7 of 33
disclosures per firm (≥10 firms)
#7 of 33
Grade-A share (≥10 firms)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Where Arizona sits by disclosures per firm

COUNT-derived placement among 33 states and territories with at least 10 graded firms. Lower intensity is cleaner for residents; large multistate HQs can lift a state's average without describing every local office.

Arizona vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

6 Among the lightest loads a lower disclosures-per-firm load than 79% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). Below this entry. 4–6: 8 floor-qualified states (24%). This entry sits in this band. 6–8: 1 floor-qualified states (3%). Above this entry. 8–10: 1 floor-qualified states (3%). Above this entry. 10–12: 0 floor-qualified states (0%). Above this entry. 12–14: 2 floor-qualified states (6%). Above this entry. 14–16: 0 floor-qualified states (0%). Above this entry. 16–18: 0 floor-qualified states (0%). Above this entry. 18–20: 1 floor-qualified states (3%). Above this entry. 20–22: 0 floor-qualified states (0%). Above this entry. 22–24: 0 floor-qualified states (0%). Above this entry. 24–26: 0 floor-qualified states (0%). Above this entry. 26–28: 0 floor-qualified states (0%). Above this entry. 28–30: 0 floor-qualified states (0%). Above this entry. 30–32: 0 floor-qualified states (0%). Above this entry. 32–34: 0 floor-qualified states (0%). Above this entry. 34–36: 1 floor-qualified states (3%). Above this entry. Arizona 0 36 every state with ≥10 graded firms, bucketed by value

Each bar is a band; taller bars hold more floor-qualified states. 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 · July 2026

Firm-size mix among 25 graded firms

FINRA BrokerCheck size classes in Arizona. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

25
Registered Firms
17
Clean Record (Grade A)
148
Total Disclosures
5.9
Avg Disclosures / Firm

Grade Distribution

How Arizona's 25 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (17)17 firmsB, low (7)7 firmsC, typical (0)0 firmsD, elevated (0)0 firmsF, heaviest (1)1 firm
Grade breakdown of 25 graded firms headquartered in Arizona

Firms by Disclosure Count

#FirmDisclosuresOfficesGrade
1Osaic Wealth, Inc.Scottsdale825,899B
2Osaic Services, Inc.Scottsdale371F
3United Planners' Financial Services of America a Limited PartnerScottsdale15417B
4Scottsdale Capital Advisors CorpScottsdale Az63B
5Davis Distributors, LLCTucson33B
6ARC Group Securities LLCTempe22B
7Union Capital CompanyTucson211B
8Walton RE Securities, LLCScottsdale12B
9Benefit Finance Securities, LLCScottsdale04A
10BFP Securities, LLCScottsdale02A
11Brooklight Place Securities, Inc.Fountain Hills012A
12Capulent LLCPhoenix05A
13CCO Capital, LLCPhoenix04A
14Click Capital MarketsScottsdale02A
15Columbia West Capital, LLCScottsdale02A
16Dinan Capital AdvisorsPhoenix07A
17Fairport Capital, Inc.Scottsdale05A
18Favorpoint CapitalScottsdale01A
19Link Securities LLCScottsdale02A
20M. S. Howells & Co.Scottsdale042A
21MartinwolfScottsdale02A
22Sunstreet Securities, LLCAvondale010A
23TAG Wealth Management, LLCPhoenix02A
24Ventureaide Capital, LLCPhoenix02A
25Vision 4 Fund DistributorsScottsdale02A

Elevated disclosures per firm

Arizona's heavier disclosure load

Arizona ranks #7 of 33 on disclosures-per-firm (5.9) among ≥10-firm states.

Arizona's aggregate BrokerCheck book ranks #17 of 56 (148 disclosures) - heavier third on the /states load board. Grade-A share is 68.0% (17 of 25 graded) - cleaner third among floor-qualified states; D/F share is 4.0%. Heaviest raw book in-state: Osaic Wealth, Inc. (82 disclosures across 5,899 offices).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations - large multistate HQs in Arizona can lift statewide totals without describing every local office. This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does Arizona sit among states by BrokerCheck disclosure load?
Arizona is in the heavier third by aggregate disclosure load (#17 of 56, 148 events) while inventory ranks #21 of 56. Aggregate load is not a judgment of regulators or any firm.
How many broker-dealer firms are registered in Arizona?
Arizona has 25 actively registered broker-dealer firms on FINRA BrokerCheck, of which 17 (68.0%) hold a clean Grade-A record with no reportable disclosures.
Which Arizona broker-dealer has the most FINRA disclosures?
Osaic Wealth, Inc. leads Arizona's listing with 82 BrokerCheck disclosures across 5,899 offices (Grade B). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Arizona's safety grades?
On Arizona's heavier-load board, grades stay size-normalized (weighted disclosures ÷ branch footprint within size class). Zero-disclosure firms earn A. Editorial signals only - not FINRA ratings; see methodology.
Is this official Arizona broker data?
Yes. Arizona's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.
All Arizona Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for Arizona. Arizona ranks #21 by firm inventory and #17 by disclosure load in the PlainAdvisorCheck extract as of July 2026.