CRD #30996 · FINRA BrokerCheck + SEC IAPD

Herold & Lantern Investments, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herold & Lantern Investments, Inc. ranks #4,065 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #288 of 868 on the same disclosure sort used on the state browse page. Herold & Lantern Investments, Inc. carries 1 BrokerCheck disclosure across 10 branch offices - light load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
10
branch offices
1
disclosure
#4,065 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 30996 Herold & Lantern Investments, Inc.

Herold & Lantern Investments, Inc. · Grade B · 1 disc · 0.10/office · Regional firm

  • CRD 30996
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 10
  • PER-OFF 0.10
  • RANK #4,065 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Cabin Securities, Inc. (0.10 disc/office)

Cabin Securities, Inc.0.10Capital Investment Brok…0.10Investment Distributors…0.10Herold & Lantern In… (this)0.10
Disclosures per office among regional firm peers (lower is cleaner)

Herold & Lantern Investments, Inc. ranks #4,065 of 20,055 by disclosure count among graded broker-dealers; light load at 0.10 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

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.10 per office

1 ÷ 10 offices

Herold & Lantern Investments, Inc. vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 87% 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. 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 Herold & Lantern Investments, 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
Melville, NY
CRD Number
30996

Regulator-heavy mix

Herold & Lantern Investments, Inc. in the heavier-disclosure third

Herold & Lantern Investments, Inc. carries 1 BrokerCheck disclosure across 10 branch offices - a heavier-third raw book among graded firms (#4,065 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

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

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

New York cohort · 0.11× state average

Herold & Lantern Investments, Inc. sits below the New York disclosure average

Herold & Lantern Investments, Inc. reports 1 BrokerCheck disclosure, 0.11× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

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 Herold & Lantern Investments, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herold & Lantern Investments, Inc. ranks #4,065 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #288 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 Herold & Lantern Investments, Inc.?
A grade of B reflects Herold & Lantern Investments, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 1 total disclosure across 10 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Herold & Lantern Investments, Inc. have?
Herold & Lantern Investments, 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 Herold & Lantern Investments, Inc.?
Herold & Lantern Investments, Inc. operates 10 branch offices and is classified by FINRA as a small firm, registered in NY (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 Herold & Lantern Investments, Inc.'s disciplinary record?
You can verify Herold & Lantern Investments, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 30996. 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 Herold & Lantern Investments, 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. Herold & Lantern Investments, Inc. carries 1 disclosure across 10 branch offices (about 0.10 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 Herold & Lantern Investments, 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

  • Cabin Securities, Inc. (KS) - 0.10 disclosures/office, nearest regional firm peer to Herold & Lantern Investments, Inc.'s 0.10
  • Capital Investment Brokerage, Inc. (NC) - 0.10 disclosures/office, nearest regional firm peer to Herold & Lantern Investments, Inc.'s 0.10
  • Investment Distributors, Inc. (AL) - 0.10 disclosures/office, nearest regional firm peer to Herold & Lantern Investments, Inc.'s 0.10
  • Firms in NY - state roster that includes Herold & Lantern Investments, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Herold & Lantern Investments, Inc..
  • Reading BrokerCheck Reports - How Herold & Lantern Investments, Inc.'s 0.10 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Herold & Lantern Investments, Inc..
  • Compare firms - put Herold & Lantern Investments, 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.