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.