CRD #29931 · FINRA BrokerCheck + SEC IAPD

Andrew Garrett Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Andrew Garrett Inc. ranks #437 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #58 of 868 on the same disclosure sort used on the state browse page. Andrew Garrett Inc. carries 15 BrokerCheck disclosures across 22 branch offices - moderate load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
22
branch offices
15
disclosures
#437 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 29931 Andrew Garrett Inc.

Andrew Garrett Inc. · Grade B · 15 disc · 0.68/office · Mid-sized firm

  • CRD 29931
  • GRADE B
  • DISC 15
  • REG 15
  • ARB 0
  • CIV 0
  • BRANCH 22
  • PER-OFF 0.68
  • RANK #437 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: TWO Sigma Securities, LLC (0.72 disc/office)

TWO Sigma Securities, LLC0.72Aegis Capital Corp.0.63Stephens0.82Andrew Garrett Inc. (this)0.68
Disclosures per office among mid-sized firm peers (lower is cleaner)

Andrew Garrett Inc. ranks #437 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.68 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

Branch offices

22 offices

FINRA: Small firm

Total disclosures

15 events

On FINRA BrokerCheck

Regulatory events

15 actions

100% of all disclosures

Disclosures per office

0.68 per office

15 ÷ 22 offices

Andrew Garrett Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 38% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 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. This firm 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

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 15
Arbitrations 0
Civil Events 0
Total 15

Counts for Andrew Garrett Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 15 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
29931

Regulator-heavy mix

Andrew Garrett Inc. in the heavier-disclosure third

Andrew Garrett Inc. carries 15 BrokerCheck disclosures across 22 branch offices - a heavier-third raw book among graded firms (#437 of 20,055). Regulator-initiated events are 100% of the book (15 regulatory / 0 arbitration / 0 civil).

100% of Andrew Garrett Inc.'s 15 disclosures are regulator-initiated (15 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Andrew Garrett Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.71× state average

Andrew Garrett Inc. sits above the New York disclosure average

Andrew Garrett Inc. reports 15 BrokerCheck disclosures, 1.71× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Andrew Garrett Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Andrew Garrett Inc. ranks #437 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #58 of 868 on the same disclosure sort used on the state browse page. 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 B mean for Andrew Garrett Inc.?
A grade of B reflects Andrew Garrett Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 15 total disclosures across 22 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Andrew Garrett Inc. have?
Andrew Garrett Inc. has 15 total FINRA disclosures, including 15 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Andrew Garrett Inc.?
Andrew Garrett Inc. operates 22 branch offices and is classified by FINRA as a small firm, registered in NY (Mid-sized 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 Andrew Garrett Inc.'s disciplinary record?
You can verify Andrew Garrett Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 29931. 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). Andrew Garrett Inc.'s 15 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Andrew Garrett 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. Andrew Garrett Inc. carries 15 disclosures across 22 branch offices (about 0.68 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Andrew Garrett Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • TWO Sigma Securities, LLC (NY) - 0.72 disclosures/office, nearest mid-sized firm peer to Andrew Garrett Inc.'s 0.68
  • Aegis Capital Corp. (NY) - 0.63 disclosures/office, nearest mid-sized firm peer to Andrew Garrett Inc.'s 0.68
  • Stephens (AR) - 0.82 disclosures/office, nearest mid-sized firm peer to Andrew Garrett Inc.'s 0.68
  • Firms in NY - state roster that includes Andrew Garrett Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Andrew Garrett Inc..
  • Reading BrokerCheck Reports - How Andrew Garrett Inc.'s 0.68 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Andrew Garrett Inc..
  • Compare firms - put Andrew Garrett 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.