CRD #34509 · FINRA BrokerCheck + SEC IAPD

Harvestons Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Harvestons Securities, Inc. ranks #4,054 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #16 of 56 on the same disclosure sort used on the state browse page. Harvestons Securities, Inc. carries 1 BrokerCheck disclosure across 2 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
1
disclosure
#4,054 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 34509 Harvestons Securities, Inc.

Harvestons Securities, Inc. · Grade B · 1 disc · 0.50/office · Small firm

  • CRD 34509
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 0.50
  • RANK #4,054 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: 1964 Global (0.50 disc/office)

1964 Global0.50ABG Sundal Collier Inc.0.50ABN Amro Securities (US…0.50Harvestons Securiti… (this)0.50
Disclosures per office among small firm peers (lower is cleaner)

Harvestons Securities, Inc. ranks #4,054 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.50 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

2 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.50 per office

1 ÷ 2 offices

Harvestons Securities, 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 44% 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 1
Arbitrations 0
Civil Events 0
Total 1

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

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Greenwood Village, CO
CRD Number
34509

Regulator-heavy mix

Harvestons Securities, Inc. in the heavier-disclosure third

Harvestons Securities, Inc. carries 1 BrokerCheck disclosure across 2 branch offices - a heavier-third raw book among graded firms (#4,054 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Harvestons Securities, Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Colorado cohort · 0.66× state average

Harvestons Securities, Inc. tracks near the Colorado disclosure average

Harvestons Securities, Inc. reports 1 BrokerCheck disclosure, about 0.66× the Colorado average of 1.5 across 56 graded firms.

In Colorado, 37 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 Colorado state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Harvestons Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Harvestons Securities, Inc. ranks #4,054 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #16 of 56 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 Harvestons Securities, Inc.?
A grade of B reflects Harvestons Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Harvestons Securities, Inc. have?
Harvestons Securities, Inc. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Harvestons Securities, Inc.?
Harvestons Securities, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in CO (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 Harvestons Securities, Inc.'s disciplinary record?
You can verify Harvestons Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 34509. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Harvestons Securities, 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. Harvestons Securities, Inc. carries 1 disclosure across 2 branch offices (about 0.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1964 Global (NY) - 0.50 disclosures/office, nearest small firm peer to Harvestons Securities, Inc.'s 0.50
  • ABG Sundal Collier Inc. (NY) - 0.50 disclosures/office, nearest small firm peer to Harvestons Securities, Inc.'s 0.50
  • ABN Amro Securities (USA) LLC (NJ) - 0.50 disclosures/office, nearest small firm peer to Harvestons Securities, Inc.'s 0.50
  • Firms in CO - state roster that includes Harvestons Securities, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Harvestons Securities, Inc..
  • Reading BrokerCheck Reports - How Harvestons Securities, Inc.'s 0.50 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Harvestons Securities, Inc..
  • Compare firms - put Harvestons Securities, 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.