Branch offices
0 offices
FINRA: Small firm
CRD #837 · FINRA BrokerCheck + SEC IAPD
Tucker Anthony Incorporated
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tucker Anthony Incorporated ranks #70 of 20,055 by disclosure count (most disclosures first). Tucker Anthony Incorporated carries 67 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 67
- disclosures
- #70 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 837 Tucker Anthony Incorporated
Tucker Anthony Incorporated · Grade F · 67 disc · 67.00/office · Single-office firm
- CRD 837
- GRADE F
- DISC 67
- REG 57
- ARB 9
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #70 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: J.J.B. Hilliard, W.L. Lyons, LLC (67.00 disc/office)
Tucker Anthony Incorporated ranks #70 of 20,055 by disclosure count among graded broker-dealers; heavy load at 67.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
67 events
On FINRA BrokerCheck
Regulatory events
57 actions
85% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 57 |
| Arbitrations | 9 |
| Civil Events | 1 |
| Total | 67 |
Counts for Tucker Anthony Incorporated reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 57 Arbitration 9 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 837
Regulator-heavy mix
Tucker Anthony Incorporated in the heavier-disclosure third
Tucker Anthony Incorporated carries 67 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#70 of 20,055). Regulator-initiated events are 85% of the book (57 regulatory / 9 arbitration / 1 civil).
85% of Tucker Anthony Incorporated's 67 disclosures are regulator-initiated (57 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Tucker Anthony Incorporated'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 Tucker Anthony Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Tucker Anthony Incorporated ranks #70 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 F mean for Tucker Anthony Incorporated?
A grade of F reflects Tucker Anthony Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 67 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Tucker Anthony Incorporated have?
Tucker Anthony Incorporated has 67 total FINRA disclosures, including 57 regulatory events, 9 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Tucker Anthony Incorporated?
Tucker Anthony Incorporated 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 Tucker Anthony Incorporated's disciplinary record?
You can verify Tucker Anthony Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 837. 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). Tucker Anthony Incorporated's 67 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Tucker Anthony Incorporated 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. Tucker Anthony Incorporated carries 67 disclosures across 0 branch offices (about 67.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- J.J.B. Hilliard, W.L. Lyons, LLC - 67.00 disclosures/office, nearest single-office firm peer to Tucker Anthony Incorporated's 67.00
- J.P. Morgan Clearing Corp. - 67.00 disclosures/office, nearest single-office firm peer to Tucker Anthony Incorporated's 67.00
- Concourse Financial Group Securities, Inc. - 69.00 disclosures/office, nearest single-office firm peer to Tucker Anthony Incorporated's 67.00
- Red Flags in Advisor Records - How to read Tucker Anthony Incorporated's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 67 disclosures behind Tucker Anthony Incorporated's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Tucker Anthony Incorporated.
- Compare firms - put Tucker Anthony Incorporated 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.