Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #39954 · FINRA BrokerCheck + SEC IAPD
Uinta Investments, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Uinta Investments, Inc. ranks #4,941 of 20,055 by disclosure count (most disclosures first). Uinta Investments, Inc. carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 1
- disclosure
- #4,941 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 39954 Uinta Investments, Inc.
Uinta Investments, Inc. · Grade B · 1 disc · 1.00/office · Single-office firm
- CRD 39954
- GRADE B
- DISC 1
- REG 0
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #4,941 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)
Uinta Investments, Inc. ranks #4,941 of 20,055 by disclosure count among graded broker-dealers; heavy load at 1.00 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
Total disclosures
1 event
On FINRA BrokerCheck
Regulatory events
0 actions
0% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 0 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 1 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 0 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 12/07/1995
- State of Formation
- Arizona
- CRD Number
- 39954
- SEC Number
- 48910
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 Uinta Investments, Inc.
Uinta Investments, Inc. (Corporation, CRD# 39954 · SEC# 48910) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 1 disclosure as of July 2026: 0 regulatory (0%), 1 arbitration, 0 civil. Letter grade B (4/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Uinta Investments, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Uinta Investments, Inc. ranks #4,941 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 B mean for Uinta Investments, Inc.?
A grade of B reflects Uinta Investments, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Uinta Investments, Inc. have?
Uinta Investments, Inc. has 1 total FINRA disclosure, including 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Uinta Investments, Inc.?
Uinta Investments, 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 Uinta Investments, Inc.'s disciplinary record?
You can verify Uinta Investments, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 39954. 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.
Should I avoid Uinta Investments, 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. Uinta Investments, Inc. carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to Uinta Investments, Inc.'s 1.00
- 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to Uinta Investments, Inc.'s 1.00
- 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to Uinta Investments, Inc.'s 1.00
- Red Flags in Advisor Records - How to read Uinta Investments, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 1 disclosure behind Uinta Investments, Inc.'s Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Uinta Investments, Inc..
- Compare firms - put Uinta Investments, 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.