Branch offices
3 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #108369 · FINRA BrokerCheck + SEC IAPD
Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. has not yet been reviewed by PlainAdvisorCheck. Check FINRA BrokerCheck directly for its current disclosure record.
- Not yet reviewed
- Safety grade
- 3
- branch offices
PlainAdvisorCheck rating n/a - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 3 offices
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 0 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Firm Details
- Firm Size
- Small
- CRD Number
- 108369
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Thomas J. Herzfeld Advisors, Inc.
Thomas J. Herzfeld Advisors, Inc. (broker-dealer, CRD# 108369) operates 3 branch offices - a small firm (FINRA: small), scope not reported.
BrokerCheck shows 0 disclosures as of July 2026 (about 0.00 per branch office): 0 regulatory (0%), 0 arbitration, 0 civil. Letter grade N/A. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of N/A mean for Thomas J. Herzfeld Advisors, Inc.?
Thomas J. Herzfeld Advisors, Inc. has not yet been graded by PlainAdvisorCheck. Grades are size-normalized against FINRA BrokerCheck disclosure records once a firm's detail record has been reviewed -- check back soon, or view the live record on FINRA BrokerCheck.
How many FINRA disclosures does Thomas J. Herzfeld Advisors, Inc. have?
PlainAdvisorCheck has not yet pulled Thomas J. Herzfeld Advisors, Inc.'s detailed disclosure record from FINRA BrokerCheck. View the live record directly on FINRA BrokerCheck at brokercheck.finra.org using CRD number 108369.
How big is Thomas J. Herzfeld Advisors, Inc.?
Thomas J. Herzfeld Advisors, Inc. operates 3 branch offices and is classified by FINRA as a small firm (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 Thomas J. Herzfeld Advisors, Inc.'s disciplinary record?
You can verify Thomas J. Herzfeld Advisors, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 108369. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Thomas J. Herzfeld Advisors, Inc.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Thomas J. Herzfeld Advisors, Inc.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Thomas J. Herzfeld Advisors, Inc.'s 0.00
- How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade N/A firm like Thomas J. Herzfeld Advisors, Inc..
- Reading BrokerCheck Reports - How Thomas J. Herzfeld Advisors, Inc.'s 0.00 disclosures-per-office figure is derived.
- Most Disclosures - Raw disclosure-volume leaders for context next to Thomas J. Herzfeld Advisors, Inc..
- Compare firms - put Thomas J. Herzfeld Advisors, Inc. next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.