CRD #37560 · FINRA BrokerCheck + SEC IAPD

Valdes & Moreno, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Valdes & Moreno, Inc. ranks #1,934 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #14 of 36 on the same disclosure sort used on the state browse page. Valdes & Moreno, Inc. carries 4 BrokerCheck disclosures across 3 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
3
branch offices
4
disclosures
#1,934 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 37560 Valdes & Moreno, Inc.

Valdes & Moreno, Inc. · Grade B · 4 disc · 1.33/office · Small firm

  • CRD 37560
  • GRADE B
  • DISC 4
  • REG 2
  • ARB 2
  • CIV 0
  • BRANCH 3
  • PER-OFF 1.33
  • RANK #1,934 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Alight Financial Solutions, LLC (1.33 disc/office)

Alight Financial Soluti…1.33Alterna Securities, Inc.1.33Banorte Securities Inte…1.33Valdes & Moreno, Inc. (this)1.33
Disclosures per office among small firm peers (lower is cleaner)

Valdes & Moreno, Inc. ranks #1,934 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.33 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

Branch offices

3 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

2 actions

50% of all disclosures

Disclosures per office

1.33 per office

4 ÷ 3 offices

Valdes & Moreno, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 23% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). This entry sits in this band. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 2
Civil Events 0
Total 4

Counts for Valdes & Moreno, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Parkville, MO, 64152
Formed
07/13/1994
State of Formation
Missouri
CRD Number
37560
SEC Number
47810

Elevated disclosures per office

Valdes & Moreno, Inc. in the heavier-disclosure third

Valdes & Moreno, Inc. carries 4 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#1,934 of 20,055). Mix is 2 regulatory, 2 arbitration, and 0 civil (50% regulator share).

Valdes & Moreno, Inc. runs 1.33 disclosures per branch office (cleaner than only 77% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Valdes & Moreno, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Missouri cohort · 0.12× state average

Valdes & Moreno, Inc. sits below the Missouri disclosure average

Valdes & Moreno, Inc. reports 4 BrokerCheck disclosures, 0.12× the Missouri average of 34.3, lighter than most of the 36 graded firms filed there.

In Missouri, 9 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Missouri state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Valdes & Moreno, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Valdes & Moreno, Inc. ranks #1,934 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #14 of 36 on the same disclosure sort used on the state browse page. 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 Valdes & Moreno, Inc.?
A grade of B reflects Valdes & Moreno, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 4 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Valdes & Moreno, Inc. have?
Valdes & Moreno, Inc. has 4 total FINRA disclosures, including 2 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Valdes & Moreno, Inc.?
Valdes & Moreno, Inc. operates 3 branch offices and is classified by FINRA as a small firm, registered in MO (Small 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 Valdes & Moreno, Inc.'s disciplinary record?
You can verify Valdes & Moreno, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 37560. 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 BrokerCheck. For Valdes & Moreno, Inc., the 1.33 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Valdes & Moreno, 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. Valdes & Moreno, Inc. carries 4 disclosures across 3 branch offices (about 1.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.