Branch offices
8 offices
FINRA: Small firm
CRD #120387 · FINRA BrokerCheck + SEC IAPD
Conning Investment Products, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Conning Investment Products, Inc. ranks #8,123 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #56 of 111 on the same disclosure sort used on the state browse page. Conning Investment Products, Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 8 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 8
- branch offices
- 0
- disclosures
- #8,123 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 120387 Conning Investment Products, Inc.
Conning Investment Products, Inc. · Grade A · 0 disc · 0.00/office · Small firm
- CRD 120387
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 8
- PER-OFF 0.00
- RANK #8,123 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Conning Investment Products, Inc. ranks #8,123 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 8 offices
Clean disclosure surface
Conning Investment Products, Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 8 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Hartford, CT
- CRD Number
- 120387
Clean BrokerCheck surface
Conning Investment Products, Inc.'s clean BrokerCheck surface
Conning Investment Products, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 8 branch offices (Grade A).
Conning Investment Products, Inc. shows zero reportable disclosures across 8 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Conning Investment Products, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Connecticut cohort · 0.00× state average
Conning Investment Products, Inc. sits below the Connecticut disclosure average
Conning Investment Products, Inc. reports 0 BrokerCheck disclosures, 0.00× the Connecticut average of 3.5, lighter than most of the 111 graded firms filed there.
In Connecticut, 76 firms carry Grade A and 2 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 Connecticut state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Conning Investment Products, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Conning Investment Products, Inc. ranks #8,123 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #56 of 111 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 A mean for Conning Investment Products, Inc.?
A grade of A means Conning Investment Products, Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Conning Investment Products, Inc. have?
Conning Investment Products, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Conning Investment Products, Inc.?
Conning Investment Products, Inc. operates 8 branch offices and is classified by FINRA as a small firm, registered in CT (Small 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 Conning Investment Products, Inc.'s disciplinary record?
You can verify Conning Investment Products, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 120387. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Conning Investment Products, Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Conning Investment Products, Inc., both outside CT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (8 here).
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Conning Investment Products, Inc.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Conning Investment Products, Inc.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Conning Investment Products, Inc.'s 0.00
- Firms in CT - state roster that includes Conning Investment Products, Inc.'s registration home.
- How to Vet a Financial Advisor - Use Conning Investment Products, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Conning Investment Products, Inc.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Conning Investment Products, Inc..
- Compare firms - put Conning Investment Products, Inc. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.