Branch offices
0 offices
FINRA: Small firm
CRD #17618 · FINRA BrokerCheck + SEC IAPD
Regions Investment Company, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Regions Investment Company, Inc. ranks #1,292 of 20,055 by disclosure count (most disclosures first). Regions Investment Company, Inc. carries 6 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 6
- disclosures
- #1,292 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 17618 Regions Investment Company, Inc.
Regions Investment Company, Inc. · Grade D · 6 disc · 6.00/office · Single-office firm
- CRD 17618
- GRADE D
- DISC 6
- REG 5
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,292 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: ACN Securities Inc. (6.00 disc/office)
Regions Investment Company, Inc. ranks #1,292 of 20,055 by disclosure count among graded broker-dealers; heavy load at 6.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
Total disclosures
6 events
On FINRA BrokerCheck
Regulatory events
5 actions
83% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 5 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 6 |
Counts for Regions Investment Company, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 5 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 17618
Regulator-heavy mix
Regions Investment Company, Inc. in the heavier-disclosure third
Regions Investment Company, Inc. carries 6 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,292 of 20,055). Regulator-initiated events are 83% of the book (5 regulatory / 1 arbitration / 0 civil).
83% of Regions Investment Company, Inc.'s 6 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Regions Investment Company, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Regions Investment Company, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Regions Investment Company, Inc. ranks #1,292 of 20,055 by disclosure count (most disclosures first). 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 D mean for Regions Investment Company, Inc.?
A grade of D reflects Regions Investment Company, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 6 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Regions Investment Company, Inc. have?
Regions Investment Company, Inc. has 6 total FINRA disclosures, including 5 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Regions Investment Company, Inc.?
Regions Investment Company, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 Regions Investment Company, Inc.'s disciplinary record?
You can verify Regions Investment Company, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17618. 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). Regions Investment Company, Inc.'s 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Regions Investment Company, 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. Regions Investment Company, Inc. carries 6 disclosures across 0 branch offices (about 6.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- ACN Securities Inc. - 6.00 disclosures/office, nearest single-office firm peer to Regions Investment Company, Inc.'s 6.00
- American Investors Group, Inc. - 6.00 disclosures/office, nearest single-office firm peer to Regions Investment Company, Inc.'s 6.00
- Apollo Partners, L.P. - 6.00 disclosures/office, nearest single-office firm peer to Regions Investment Company, Inc.'s 6.00
- Red Flags in Advisor Records - How to read Regions Investment Company, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 6 disclosures behind Regions Investment Company, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Regions Investment Company, Inc..
- Compare firms - put Regions Investment Company, 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.
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.