Interactive tool · FINRA BrokerCheck data

Firm Safety Comparison

Search any U.S. broker-dealer and put up to four side by side, safety grade, branch footprint, BrokerCheck disclosures, and disclosures per office, all from official FINRA and SEC records. See our methodology for how each figure is sourced.

Volume is not intensity

According to FINRA BrokerCheck as of July 2026, Citigroup Global Markets Inc. leads raw disclosure volume at 1,233 events (#1 of 3,051 active graded firms) but sits #86 of 443 on disclosures-per-office (0.43). Morgan Stanley & Co. LLC leads that intensity board at 12.55 per branch on 44 offices (552 disclosures).

#1 of 3,051
Citigroup Global Markets Inc.: raw disclosure volume
1,233
disclosures on the volume leader
#1 of 443
Morgan Stanley & Co. LLC: disclosures per office
12.55
per office, ≥10 branches

Volume rank is not intensity rank. Grades size-normalize disclosure load by branch footprint among same-size peers. A disclosure is a reported event, not a proven violation. See methodology.

What the side-by-side shows

Grade & disclosures

The size-normalized A–F safety grade and the total count of reportable FINRA BrokerCheck disclosures on file.

Footprint & intensity

Branch-office count and disclosures per office, the size-normalized signal that lets a national firm and a single-office shop be compared fairly.

The full breakdown

Regulatory actions, arbitrations, and civil events split out, so two firms with the same total can be told apart.

Every figure comes straight from FINRA BrokerCheck and the SEC, no ratings or opinions added. Read the methodology.

Popular comparisons

UBS vs. JP Morgan vs. Edward Jones Cleanest firms → Most disclosures →

Comparison (1 firm)

Add at least one more firm above to see the side-by-side verdict and distribution.

Metric UBS Financial Services Inc.
Safety grade Grade C
Location WEEHAWKEN, NJ
Firm size Large
Branch offices 6,346
Total disclosures 926
Disclosures per office 0.15
Regulatory actions 476
Arbitrations 445
Civil events 5

Cleanest selected firm vs. every disclosing firm

UBS Financial Services Inc. has the lowest disclosures-per-office of your disclosing selections (lower means a cleaner record for its size)

0 Among the cleanest for its size a cleaner per-office record than 82% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. Your pick 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. 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 · 2026

Frequently asked questions

How does the firm comparison tool work?
Type a broker-dealer name to search, check up to four firms, then click "Compare selected". The comparison shows each firm’s size-normalized safety grade, branch-office footprint, total FINRA BrokerCheck disclosures, the regulatory / arbitration / civil breakdown, and disclosures per office, the size-normalized signal behind the grade.
What does "disclosures per office" mean?
It is total reported disclosures divided by the firm’s branch-office count, a size-normalized measure so a 6,000-office national firm and a single-office shop can be compared fairly. FINRA publishes no registered-rep headcount, so branch footprint is the operating-size denominator. Lower is cleaner.
Where does the data come from?
All figures come from <a href="https://brokercheck.finra.org" target="_blank" rel="nofollow noopener">FINRA BrokerCheck</a> and the <a href="https://adviserinfo.sec.gov" target="_blank" rel="nofollow noopener">SEC Investment Adviser Public Disclosure (IAPD)</a>, the official public registries for U.S. broker-dealers. Grades are size-normalized by PlainAdvisorCheck; see the methodology for the exact formula. Always review the underlying disclosures on FINRA BrokerCheck before engaging a firm.
Why can I only compare up to 4 firms?
The side-by-side view is built for detailed reading. Comparing more than four firms at once makes the table hard to scan. To survey a whole market, use the rankings and state browse pages.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.