Branch offices
0 offices
FINRA: Small firm
CRD #17966 · FINRA BrokerCheck + SEC IAPD
Yankee Financial Group, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Yankee Financial Group, Inc. ranks #1,343 of 20,055 by disclosure count (most disclosures first). Yankee Financial Group, Inc. carries 6 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 6
- disclosures
- #1,343 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 17966 Yankee Financial Group, Inc.
Yankee Financial Group, Inc. · Grade C · 6 disc · 6.00/office · Single-office firm
- CRD 17966
- GRADE C
- DISC 6
- REG 4
- ARB 1
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #1,343 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: ACN Securities Inc. (6.00 disc/office)
Yankee Financial Group, Inc. ranks #1,343 of 20,055 by disclosure count among graded broker-dealers; heavy load at 6.00 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
Total disclosures
6 events
On FINRA BrokerCheck
Regulatory events
4 actions
67% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 4 |
| Arbitrations | 1 |
| Civil Events | 1 |
| Total | 6 |
Counts for Yankee Financial Group, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 4 Arbitration 1 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 04/15/1986
- State of Formation
- Connecticut
- CRD Number
- 17966
- SEC Number
- 35997
Heavy disclosure book
Yankee Financial Group, Inc. in the heavier-disclosure third
Yankee Financial Group, Inc. carries 6 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,343 of 20,055). Regulator-initiated events are 67% of the book (4 regulatory / 1 arbitration / 1 civil).
Yankee Financial Group, Inc. ranks #1,343 of 20,055 by BrokerCheck disclosure count among graded firms (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Yankee Financial Group, 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 Yankee Financial Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Yankee Financial Group, Inc. ranks #1,343 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 Yankee Financial Group, Inc.?
A grade of C reflects Yankee Financial Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 6 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Yankee Financial Group, Inc. have?
Yankee Financial Group, Inc. has 6 total FINRA disclosures, including 4 regulatory events, 1 arbitration, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Yankee Financial Group, Inc.?
Yankee Financial Group, 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 Yankee Financial Group, Inc.'s disciplinary record?
You can verify Yankee Financial Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17966. 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). Yankee Financial Group, Inc.'s 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Yankee Financial Group, 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. Yankee Financial Group, Inc. carries 6 disclosures across 0 branch offices (about 6.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- ACN Securities Inc. - 6.00 disclosures/office, nearest single-office firm peer to Yankee Financial Group, Inc.'s 6.00
- American Investors Group, Inc. - 6.00 disclosures/office, nearest single-office firm peer to Yankee Financial Group, Inc.'s 6.00
- Apollo Partners, L.P. - 6.00 disclosures/office, nearest single-office firm peer to Yankee Financial Group, Inc.'s 6.00
- Red Flags in Advisor Records - How to read Yankee Financial Group, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 6 disclosures behind Yankee Financial Group, Inc.'s Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Yankee Financial Group, Inc..
- Compare firms - put Yankee Financial Group, 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.