Arizona
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| OSAIC WEALTH, INC. | 88 | 1 | F | Active |
| OSAIC SERVICES, INC. | 37 | 1 | F | Active |
| UNITED PLANNERS' FINANCIAL SERVICES OF AMERIC… | 15 | 1 | F | Active |
| DAVIS DISTRIBUTORS, LLC | 3 | 1 | F | Active |
| UNION CAPITAL COMPANY | 2 | 1 | F | Active |
| BFP SECURITIES, LLC | 0 | 1 | A | Active |
| CAPULENT LLC | 0 | 1 | A | Active |
| CCO CAPITAL, LLC | 0 | 1 | A | Active |
| LINK SECURITIES LLC | 0 | 1 | A | Active |
| M. S. HOWELLS & CO. | 0 | 1 | A | Active |
| SUNSTREET SECURITIES, LLC | 0 | 1 | A | Active |
Inside Arizona's Broker-Dealer Landscape
Arizona is home to 11 broker-dealer firms in FINRA's public register, of which 11 (100.0%) are currently marked ACTIVE. Those firms employ 11 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 145 disclosures on BrokerCheck, averaging 13.2 per firm. Grade distribution across Arizona's broker-dealers: 6 graded A, 0 graded B, 0 graded C, 0 graded D, and 5 graded F. That means 54.5% of graded firms hold an A and 45.5% fall into the D or F bands.
Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations — large multistate firms headquartered in Arizona will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Arizona advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
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