CRD #105387 · FINRA BrokerCheck + SEC IAPD

Valley Financial Management, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Valley Financial Management, Inc. ranks #1,575 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #135 of 868 on the same disclosure sort used on the state browse page. Valley Financial Management, Inc. carries 5 BrokerCheck disclosures across 17 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
17
branch offices
5
disclosures
#1,575 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 105387 Valley Financial Management, Inc.

Valley Financial Management, Inc. · Grade B · 5 disc · 0.29/office · Regional firm

  • CRD 105387
  • GRADE B
  • DISC 5
  • REG 5
  • ARB 0
  • CIV 0
  • BRANCH 17
  • PER-OFF 0.29
  • RANK #1,575 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Continental Investors Services, Inc. (0.30 disc/office)

Continental Investors S…0.30Roosevelt & Cross, Inco…0.29Multi-Bank Securities, …0.31Valley Financial Ma… (this)0.29
Disclosures per office among regional firm peers (lower is cleaner)

Valley Financial Management, Inc. ranks #1,575 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.29 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

17 offices

FINRA: Small firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

5 actions

100% of all disclosures

Disclosures per office

0.29 per office

5 ÷ 17 offices

Valley Financial Management, Inc. vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 72% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 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 5
Arbitrations 0
Civil Events 0
Total 5

Counts for Valley Financial Management, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
105387

Regulator-heavy mix

Valley Financial Management, Inc. in the heavier-disclosure third

Valley Financial Management, Inc. carries 5 BrokerCheck disclosures across 17 branch offices - a heavier-third raw book among graded firms (#1,575 of 20,055). Regulator-initiated events are 100% of the book (5 regulatory / 0 arbitration / 0 civil).

100% of Valley Financial Management, Inc.'s 5 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.57× state average

Valley Financial Management, Inc. tracks near the New York disclosure average

Valley Financial Management, Inc. reports 5 BrokerCheck disclosures, about 0.57× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Valley Financial Management, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Valley Financial Management, Inc. ranks #1,575 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #135 of 868 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 Valley Financial Management, Inc.?
A grade of B reflects Valley Financial Management, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 5 total disclosures across 17 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Valley Financial Management, Inc. have?
Valley Financial Management, Inc. has 5 total FINRA disclosures, including 5 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Valley Financial Management, Inc.?
Valley Financial Management, Inc. operates 17 branch offices and is classified by FINRA as a small firm, registered in NY (Regional 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 Valley Financial Management, Inc.'s disciplinary record?
You can verify Valley Financial Management, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 105387. 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). Valley Financial Management, Inc.'s 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Valley Financial Management, 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. Valley Financial Management, Inc. carries 5 disclosures across 17 branch offices (about 0.29 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Valley Financial Management, Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.