Branch offices
0 offices
FINRA: Small firm
CRD #18044 · FINRA BrokerCheck + SEC IAPD
Seton Securities Group, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Seton Securities Group, Inc. ranks #640 of 20,055 by disclosure count (most disclosures first). Seton Securities Group, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 11
- disclosures
- #640 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 18044 Seton Securities Group, Inc.
Seton Securities Group, Inc. · Grade D · 11 disc · 11.00/office · Single-office firm
- CRD 18044
- GRADE D
- DISC 11
- REG 11
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #640 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Asiel & Co. LLC (11.00 disc/office)
Seton Securities Group, Inc. ranks #640 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.00 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
11 events
On FINRA BrokerCheck
Regulatory events
11 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 11 |
Counts for Seton Securities Group, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 04/17/1986
- State of Formation
- New York
- CRD Number
- 18044
- SEC Number
- 36105
Regulator-heavy mix
Seton Securities Group, Inc. in the heavier-disclosure third
Seton Securities Group, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#640 of 20,055). Regulator-initiated events are 100% of the book (11 regulatory / 0 arbitration / 0 civil).
100% of Seton Securities Group, Inc.'s 11 disclosures are regulator-initiated (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Seton Securities Group, 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 Seton Securities Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Seton Securities Group, Inc. ranks #640 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 Seton Securities Group, Inc.?
A grade of D reflects Seton Securities Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 11 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Seton Securities Group, Inc. have?
Seton Securities Group, Inc. has 11 total FINRA disclosures, including 11 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Seton Securities Group, Inc.?
Seton Securities Group, 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 Seton Securities Group, Inc.'s disciplinary record?
You can verify Seton Securities Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 18044. 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). Seton Securities Group, Inc.'s 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Seton Securities Group, 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. Seton Securities Group, Inc. carries 11 disclosures across 0 branch offices (about 11.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Asiel & Co. LLC - 11.00 disclosures/office, nearest single-office firm peer to Seton Securities Group, Inc.'s 11.00
- Auerbach, Pollak & Richardson Inc. - 11.00 disclosures/office, nearest single-office firm peer to Seton Securities Group, Inc.'s 11.00
- Bayou Securities, LLC - 11.00 disclosures/office, nearest single-office firm peer to Seton Securities Group, Inc.'s 11.00
- Red Flags in Advisor Records - How to read Seton Securities Group, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 11 disclosures behind Seton Securities Group, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Seton Securities Group, Inc..
- Compare firms - put Seton Securities Group, 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.