Utah
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| ZIONS DIRECT, INC. | 7 | 1 | F | Active |
| BD|CORTINA | 1 | 1 | F | Active |
| LRB PUBLIC FINANCE ADVISORS, INC. | 1 | 1 | F | Active |
| MHL INVESTMENTS | 1 | 1 | F | Active |
| AXOM PARTNERS LLC | 0 | 1 | A | Active |
| CREWE CAPITAL | 0 | 1 | A | Active |
| DFPG INVESTMENTS, LLC | 0 | 1 | A | Active |
| EDG CAPITAL LLC | 0 | 1 | A | Active |
| MORETON CAPITAL MARKETS, LLC | 0 | 1 | A | Active |
| PREP SECURITIES, LLC | 0 | 1 | A | Active |
| YUKI-CO, LLC | 0 | 1 | A | Active |
Inside Utah's Broker-Dealer Landscape
Utah is home to 11 broker-dealer firms in FINRA's public register, of which 11 (100.0%) are currently marked ACTIVE. Those firms employ 11 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 10 disclosures on BrokerCheck, averaging 0.9 per firm. Grade distribution across Utah's broker-dealers: 7 graded A, 0 graded B, 0 graded C, 0 graded D, and 4 graded F. That means 63.6% of graded firms hold an A and 36.4% fall into the D or F bands.
Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations — large multistate firms headquartered in Utah will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Utah advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
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