CRD #7001 · FINRA BrokerCheck + SEC IAPD

Carty, Harding & Hearn, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carty, Harding & Hearn, Inc. ranks #295 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #3 of 42 on the same disclosure sort used on the state browse page. Carty, Harding & Hearn, Inc. carries 20 BrokerCheck disclosures across 10 branch offices - elevated load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
10
branch offices
20
disclosures
#295 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7001 Carty, Harding & Hearn, Inc.

Carty, Harding & Hearn, Inc. · Grade B · 20 disc · 2.00/office · Regional firm

  • CRD 7001
  • GRADE B
  • DISC 20
  • REG 20
  • ARB 0
  • CIV 0
  • BRANCH 10
  • PER-OFF 2.00
  • RANK #295 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Network 1 Financial Securities Inc. (2.00 disc/office)

Network 1 Financial Sec…2.00Colliers Securities LLC2.06GMS Group1.80Carty, Harding & He… (this)2.00
Disclosures per office among regional firm peers (lower is cleaner)

Carty, Harding & Hearn, Inc. ranks #295 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.00 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

10 offices

FINRA: Small firm

Total disclosures

20 events

On FINRA BrokerCheck

Regulatory events

20 actions

100% of all disclosures

Disclosures per office

2.00 per office

20 ÷ 10 offices

Carty, Harding & Hearn, Inc. vs. every disclosing firm

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

2 a cleaner per-office record than 10% 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%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). This entry sits in this band. 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 20
Arbitrations 0
Civil Events 0
Total 20

Counts for Carty, Harding & Hearn, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 20 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Memphis, TN, 38119
Formed
10/07/1970
State of Formation
Tennessee
CRD Number
7001
SEC Number
19082

Regulator-heavy mix

Carty, Harding & Hearn, Inc. in the heavier-disclosure third

Carty, Harding & Hearn, Inc. carries 20 BrokerCheck disclosures across 10 branch offices - a heavier-third raw book among graded firms (#295 of 20,055). Regulator-initiated events are 100% of the book (20 regulatory / 0 arbitration / 0 civil).

100% of Carty, Harding & Hearn, Inc.'s 20 disclosures are regulator-initiated (20 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Tennessee cohort · 6.13× state average

Carty, Harding & Hearn, Inc. sits above the Tennessee disclosure average

Carty, Harding & Hearn, Inc. reports 20 BrokerCheck disclosures, 6.13× the Tennessee average of 3.3 across 42 graded firms with a principal-office state on file.

In Tennessee, 23 firms carry Grade A and 0 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 Tennessee state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Carty, Harding & Hearn, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carty, Harding & Hearn, Inc. ranks #295 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #3 of 42 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 Carty, Harding & Hearn, Inc.?
A grade of B reflects Carty, Harding & Hearn, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 20 total disclosures across 10 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Carty, Harding & Hearn, Inc. have?
Carty, Harding & Hearn, Inc. has 20 total FINRA disclosures, including 20 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Carty, Harding & Hearn, Inc.?
Carty, Harding & Hearn, Inc. operates 10 branch offices and is classified by FINRA as a small firm, registered in TN (Regional 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 Carty, Harding & Hearn, Inc.'s disciplinary record?
You can verify Carty, Harding & Hearn, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7001. 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). Carty, Harding & Hearn, Inc.'s 20 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Carty, Harding & Hearn, 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. Carty, Harding & Hearn, Inc. carries 20 disclosures across 10 branch offices (about 2.00 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 Carty, Harding & Hearn, Inc., both outside TN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Network 1 Financial Securities Inc. (NJ) - 2.00 disclosures/office, nearest regional firm peer to Carty, Harding & Hearn, Inc.'s 2.00
  • Colliers Securities LLC (MN) - 2.06 disclosures/office, nearest regional firm peer to Carty, Harding & Hearn, Inc.'s 2.00
  • GMS Group (NJ) - 1.80 disclosures/office, nearest regional firm peer to Carty, Harding & Hearn, Inc.'s 2.00
  • Firms in TN - state roster that includes Carty, Harding & Hearn, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Carty, Harding & Hearn, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 20 disclosures behind Carty, Harding & Hearn, Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Carty, Harding & Hearn, Inc..
  • Compare firms - put Carty, Harding & Hearn, 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.