Branch offices
0 offices
FINRA: Small firm
CRD #14568 · FINRA BrokerCheck + SEC IAPD
UTC Securities,Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UTC Securities,Inc. ranks #19,121 of 20,055 by disclosure count (most disclosures first). UTC Securities,Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 0
- branch offices
- 0
- disclosures
- #19,121 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 14568 UTC Securities,Inc.
UTC Securities,Inc. · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 14568
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #19,121 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
UTC Securities,Inc. ranks #19,121 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
- per office
footprint not reported
Clean disclosure surface
UTC Securities,Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 0 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 14568
- SEC Number
- 31252
Clean BrokerCheck surface
UTC Securities,Inc.'s clean BrokerCheck surface
UTC Securities,Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).
UTC Securities,Inc. shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of UTC Securities,Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does UTC Securities,Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UTC Securities,Inc. ranks #19,121 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 A mean for UTC Securities,Inc.?
A grade of A means UTC Securities,Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does UTC Securities,Inc. have?
UTC Securities,Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UTC Securities,Inc.?
UTC Securities,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 UTC Securities,Inc.'s disciplinary record?
You can verify UTC Securities,Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14568. 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 BrokerCheck record. UTC Securities,Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to UTC Securities,Inc.'s 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to UTC Securities,Inc.'s 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to UTC Securities,Inc.'s 0.00
- How to Vet a Financial Advisor - Use UTC Securities,Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like UTC Securities,Inc.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside UTC Securities,Inc..
- Compare firms - put UTC Securities,Inc. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.