Branch offices
4 offices
FINRA: Small firm
CRD #130564 · FINRA BrokerCheck + SEC IAPD
VON Haefen Financial Management
VON Haefen Financial Management has not yet been reviewed by PlainAdvisorCheck. Check FINRA BrokerCheck directly for its current disclosure record.
- Not yet reviewed
- Safety grade
- 4
- branch offices
PlainAdvisorCheck rating n/a - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 4 offices
Firm Details
- Firm Size
- Small
- CRD Number
- 130564
Mid-pack disclosure profile
What the record shows for VON Haefen Financial Management
VON Haefen Financial Management (broker-dealer, CRD# 130564) operates 4 branch offices with 0 disclosures as of July 2026.
VON Haefen Financial Management carries 0 disclosures across 4 offices (clean record, Grade N/A). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational data summary for informational purposes - not financial advice. Review VON Haefen Financial Management's underlying FINRA BrokerCheck detail before engaging.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of N/A mean for VON Haefen Financial Management?
VON Haefen Financial Management has not yet been graded by PlainAdvisorCheck. Grades are size-normalized against FINRA BrokerCheck disclosure records once a firm's detail record has been reviewed -- check back soon, or view the live record on FINRA BrokerCheck.
How many FINRA disclosures does VON Haefen Financial Management have?
PlainAdvisorCheck has not yet pulled VON Haefen Financial Management's detailed disclosure record from FINRA BrokerCheck. View the live record directly on FINRA BrokerCheck at brokercheck.finra.org using CRD number 130564.
How big is VON Haefen Financial Management?
VON Haefen Financial Management operates 4 branch offices and is classified by FINRA as a small firm (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 VON Haefen Financial Management's disciplinary record?
You can verify VON Haefen Financial Management's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 130564. 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 a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to VON Haefen Financial Management's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to VON Haefen Financial Management's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to VON Haefen Financial Management's 0.00
- How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade N/A firm like VON Haefen Financial Management.
- Reading BrokerCheck Reports - How VON Haefen Financial Management's 0.00 disclosures-per-office figure is derived.
- Most Disclosures - Raw disclosure-volume leaders for context next to VON Haefen Financial Management.
- Compare firms - put VON Haefen Financial Management next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.