CRD #3653 · FINRA BrokerCheck + SEC IAPD

Vail Securities Investment, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vail Securities Investment, Inc. ranks #720 of 20,055 by disclosure count (most disclosures first). Vail Securities Investment, Inc. carries 10 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
10
disclosures
#720 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3653 Vail Securities Investment, Inc.

Vail Securities Investment, Inc. · Grade D · 10 disc · 10.00/office · Single-office firm

  • CRD 3653
  • GRADE D
  • DISC 10
  • REG 10
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #720 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Allen C. Ewing & Co. (10.00 disc/office)

Allen C. Ewing & Co.10.00American Securities BD …10.00Archelon LLC10.00Vail Securities Inv… (this)10.00
Disclosures per office among single-office firm peers (lower is cleaner)

Vail Securities Investment, Inc. ranks #720 of 20,055 by disclosure count among graded broker-dealers; heavy load at 10.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

10 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 0
Civil Events 0
Total 10

Counts for Vail Securities Investment, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
3653

Regulator-heavy mix

Vail Securities Investment, Inc. in the heavier-disclosure third

Vail Securities Investment, Inc. carries 10 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#720 of 20,055). Regulator-initiated events are 100% of the book (10 regulatory / 0 arbitration / 0 civil).

100% of Vail Securities Investment, Inc.'s 10 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Vail Securities Investment, 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 Vail Securities Investment, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vail Securities Investment, Inc. ranks #720 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 D mean for Vail Securities Investment, Inc.?
A grade of D reflects Vail Securities Investment, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 10 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Vail Securities Investment, Inc. have?
Vail Securities Investment, Inc. has 10 total FINRA disclosures, including 10 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Vail Securities Investment, Inc.?
Vail Securities Investment, 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 Vail Securities Investment, Inc.'s disciplinary record?
You can verify Vail Securities Investment, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3653. 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). Vail Securities Investment, Inc.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Vail Securities Investment, 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. Vail Securities Investment, Inc. carries 10 disclosures across 0 branch offices (about 10.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Allen C. Ewing & Co. - 10.00 disclosures/office, nearest single-office firm peer to Vail Securities Investment, Inc.'s 10.00
  • American Securities BD Co., L.P. - 10.00 disclosures/office, nearest single-office firm peer to Vail Securities Investment, Inc.'s 10.00
  • Archelon LLC - 10.00 disclosures/office, nearest single-office firm peer to Vail Securities Investment, Inc.'s 10.00
  • Red Flags in Advisor Records - How to read Vail Securities Investment, Inc.'s heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 10 disclosures behind Vail Securities Investment, Inc.'s Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Vail Securities Investment, Inc..
  • Compare firms - put Vail Securities Investment, 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.