Branch offices
0 offices
FINRA: Small firm
CRD #13787 · FINRA BrokerCheck + SEC IAPD
Uvest Financial Services Group, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Uvest Financial Services Group, Inc. ranks #194 of 20,055 by disclosure count (most disclosures first). Uvest Financial Services Group, Inc. carries 30 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 30
- disclosures
- #194 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13787 Uvest Financial Services Group, Inc.
Uvest Financial Services Group, Inc. · Grade F · 30 disc · 30.00/office · Single-office firm
- CRD 13787
- GRADE F
- DISC 30
- REG 27
- ARB 3
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #194 of 20,055
- BOOK Single-office firm
Nearest same-size peer: E*Trade Clearing LLC (30.00 disc/office)
Uvest Financial Services Group, Inc. ranks #194 of 20,055 by disclosure count among graded broker-dealers; heavy load at 30.00 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
30 events
On FINRA BrokerCheck
Regulatory events
27 actions
90% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 27 |
| Arbitrations | 3 |
| Civil Events | 0 |
| Total | 30 |
Counts for Uvest Financial Services Group, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 27 Arbitration 3 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 13787
Regulator-heavy mix
Uvest Financial Services Group, Inc. in the heavier-disclosure third
Uvest Financial Services Group, Inc. carries 30 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#194 of 20,055). Regulator-initiated events are 90% of the book (27 regulatory / 3 arbitration / 0 civil).
90% of Uvest Financial Services Group, Inc.'s 30 disclosures are regulator-initiated (27 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Uvest Financial Services 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 Uvest Financial Services Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Uvest Financial Services Group, Inc. ranks #194 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 Uvest Financial Services Group, Inc.?
A grade of F reflects Uvest Financial Services 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 30 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Uvest Financial Services Group, Inc. have?
Uvest Financial Services Group, Inc. has 30 total FINRA disclosures, including 27 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Uvest Financial Services Group, Inc.?
Uvest Financial Services 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 Uvest Financial Services Group, Inc.'s disciplinary record?
You can verify Uvest Financial Services Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13787. 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). Uvest Financial Services Group, Inc.'s 30 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Uvest Financial Services 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. Uvest Financial Services Group, Inc. carries 30 disclosures across 0 branch offices (about 30.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- E*Trade Clearing LLC - 30.00 disclosures/office, nearest single-office firm peer to Uvest Financial Services Group, Inc.'s 30.00
- Gunnallen Financial, Inc - 30.00 disclosures/office, nearest single-office firm peer to Uvest Financial Services Group, Inc.'s 30.00
- Knight Capital Americas, L.P. - 30.00 disclosures/office, nearest single-office firm peer to Uvest Financial Services Group, Inc.'s 30.00
- Red Flags in Advisor Records - How to read Uvest Financial Services Group, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 30 disclosures behind Uvest Financial Services Group, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Uvest Financial Services Group, Inc..
- Compare firms - put Uvest Financial Services 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.