CRD #594 · FINRA BrokerCheck + SEC IAPD

Moors & Cabot, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Moors & Cabot, Inc. ranks #157 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #3 of 98 on the same disclosure sort used on the state browse page. Moors & Cabot, Inc. carries 34 BrokerCheck disclosures across 38 branch offices - moderate load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
38
branch offices
34
disclosures
#157 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 594 Moors & Cabot, Inc.

Moors & Cabot, Inc. · Grade B · 34 disc · 0.89/office · Mid-sized firm

  • CRD 594
  • GRADE B
  • DISC 34
  • REG 30
  • ARB 4
  • CIV 0
  • BRANCH 38
  • PER-OFF 0.89
  • RANK #157 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Hilltop Securities Inc. (0.90 disc/office)

Hilltop Securities Inc.0.90Ingalls & Snyder, LLC0.90National Financial Serv…0.89Moors & Cabot, Inc. (this)0.89
Disclosures per office among mid-sized firm peers (lower is cleaner)

Moors & Cabot, Inc. ranks #157 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.89 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

38 offices

FINRA: Small firm

Total disclosures

34 events

On FINRA BrokerCheck

Regulatory events

30 actions

88% of all disclosures

Disclosures per office

0.89 per office

34 ÷ 38 offices

Moors & Cabot, 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 35% 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%). This entry sits in this band. 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 30
Arbitrations 4
Civil Events 0
Total 34

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

Disclosure category share

Regulatory 30 Arbitration 4 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Boston, MA, 02110
Formed
07/05/1978
State of Formation
Massachusetts
CRD Number
594
SEC Number
23060

Regulator-heavy mix

Moors & Cabot, Inc. in the heavier-disclosure third

Moors & Cabot, Inc. carries 34 BrokerCheck disclosures across 38 branch offices - a heavier-third raw book among graded firms (#157 of 20,055). Regulator-initiated events are 88% of the book (30 regulatory / 4 arbitration / 0 civil).

88% of Moors & Cabot, Inc.'s 34 disclosures are regulator-initiated (30 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Massachusetts cohort · 12× state average

Moors & Cabot, Inc. sits above the Massachusetts disclosure average

Moors & Cabot, Inc. reports 34 BrokerCheck disclosures, 12× the Massachusetts average of 2.9 across 98 graded firms with a principal-office state on file.

In Massachusetts, 64 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 Massachusetts state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Moors & Cabot, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Moors & Cabot, Inc. ranks #157 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #3 of 98 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 Moors & Cabot, Inc.?
A grade of B reflects Moors & Cabot, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 34 total disclosures across 38 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Moors & Cabot, Inc. have?
Moors & Cabot, Inc. has 34 total FINRA disclosures, including 30 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Moors & Cabot, Inc.?
Moors & Cabot, Inc. operates 38 branch offices and is classified by FINRA as a small firm, registered in MA (Mid-sized 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 Moors & Cabot, Inc.'s disciplinary record?
You can verify Moors & Cabot, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 594. 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). Moors & Cabot, Inc.'s 34 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Moors & Cabot, 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. Moors & Cabot, Inc. carries 34 disclosures across 38 branch offices (about 0.89 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 Moors & Cabot, Inc., both outside MA 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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.