CRD #43520 · FINRA BrokerCheck + SEC IAPD

J.H. Darbie & Co., Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.H. Darbie & Co., Inc. ranks #571 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #67 of 868 on the same disclosure sort used on the state browse page. J.H. Darbie & Co., Inc. carries 12 BrokerCheck disclosures across 8 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
8
branch offices
12
disclosures
#571 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 43520 J.H. Darbie & Co., Inc.

J.H. Darbie & Co., Inc. · Grade B · 12 disc · 1.50/office · Small firm

  • CRD 43520
  • GRADE B
  • DISC 12
  • REG 10
  • ARB 1
  • CIV 1
  • BRANCH 8
  • PER-OFF 1.50
  • RANK #571 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: ACS Execution Services, LLC (1.50 disc/office)

ACS Execution Services,…1.50Allied Millennial Partn…1.50ANZ Securities, Inc.1.50J.H. Darbie & Co., … (this)1.50
Disclosures per office among small firm peers (lower is cleaner)

J.H. Darbie & Co., Inc. ranks #571 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.50 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

8 offices

FINRA: Small firm

Total disclosures

12 events

On FINRA BrokerCheck

Regulatory events

10 actions

83% of all disclosures

Disclosures per office

1.50 per office

12 ÷ 8 offices

J.H. Darbie & Co., 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 17% 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%). This entry sits in this band. 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 10
Arbitrations 1
Civil Events 1
Total 12

Counts for J.H. Darbie & Co., Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 1 Civil 1

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY, 10005
Formed
06/03/1997
State of Formation
New York
CRD Number
43520
SEC Number
50335

Elevated disclosures per office

J.H. Darbie & Co., Inc. in the heavier-disclosure third

J.H. Darbie & Co., Inc. carries 12 BrokerCheck disclosures across 8 branch offices - a heavier-third raw book among graded firms (#571 of 20,055). Regulator-initiated events are 83% of the book (10 regulatory / 1 arbitration / 1 civil).

J.H. Darbie & Co., Inc. runs 1.50 disclosures per branch office (cleaner than only 83% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.37× state average

J.H. Darbie & Co., Inc. sits above the New York disclosure average

J.H. Darbie & Co., Inc. reports 12 BrokerCheck disclosures, 1.37× 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 J.H. Darbie & Co., Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, J.H. Darbie & Co., Inc. ranks #571 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #67 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 J.H. Darbie & Co., Inc.?
A grade of B reflects J.H. Darbie & Co., Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 12 total disclosures across 8 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does J.H. Darbie & Co., Inc. have?
J.H. Darbie & Co., Inc. has 12 total FINRA disclosures, including 10 regulatory events, 1 arbitration, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is J.H. Darbie & Co., Inc.?
J.H. Darbie & Co., Inc. operates 8 branch offices and is classified by FINRA as a small firm, registered in NY (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 J.H. Darbie & Co., Inc.'s disciplinary record?
You can verify J.H. Darbie & Co., Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 43520. 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). J.H. Darbie & Co., Inc.'s 12 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid J.H. Darbie & Co., 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. J.H. Darbie & Co., Inc. carries 12 disclosures across 8 branch offices (about 1.50 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 J.H. Darbie & Co., 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

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.