CRD #10332 · FINRA BrokerCheck + SEC IAPD

Vestax Securities Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vestax Securities Corporation ranks #1,577 of 20,055 by disclosure count (most disclosures first). Vestax Securities Corporation carries 5 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.

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Grade C
Safety grade
0
branch offices
5
disclosures
#1,577 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 10332 Vestax Securities Corporation

Vestax Securities Corporation · Grade C · 5 disc · 5.00/office · Single-office firm

  • CRD 10332
  • GRADE C
  • DISC 5
  • REG 1
  • ARB 4
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #1,577 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1717 Capital Management Company (5.00 disc/office)

1717 Capital Management…5.001ST Bridgehouse Securit…5.00Ajax Investments, LLC5.00Vestax Securities C… (this)5.00
Disclosures per office among single-office firm peers (lower is cleaner)

Vestax Securities Corporation ranks #1,577 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

5 events

On FINRA BrokerCheck

Regulatory events

1 action

20% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 4
Civil Events 0
Total 5

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

Disclosure category share

Regulatory 1 Arbitration 4 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
10332

Customer-facing mix

Vestax Securities Corporation in the heavier-disclosure third

Vestax Securities Corporation carries 5 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,577 of 20,055). Customer-facing events dominate: 4 arbitration and 0 civil versus 1 regulatory (20% regulator share).

Only 20% of Vestax Securities Corporation's disclosures are regulator-initiated; arbitrations (4) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Vestax Securities Corporation'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 Vestax Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vestax Securities Corporation ranks #1,577 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 C mean for Vestax Securities Corporation?
A grade of C reflects Vestax Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 5 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Vestax Securities Corporation have?
Vestax Securities Corporation has 5 total FINRA disclosures, including 1 regulatory event, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Vestax Securities Corporation?
Vestax Securities Corporation 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 Vestax Securities Corporation's disciplinary record?
You can verify Vestax Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10332. 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). Vestax Securities Corporation's 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Vestax Securities Corporation 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. Vestax Securities Corporation carries 5 disclosures across 0 branch offices (about 5.00 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.