State BrokerCheck inventory · July 2026

Utah broker-dealer grades

According to FINRA BrokerCheck as of July 2026, Utah ranks #19 of 56 by registered-firm inventory (29) and #25 of 56 by aggregate disclosure load (73), then #20 of 33 on disclosures-per-firm and #4 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#19
of 56 by firm inventory
29
registered firms
73
disclosures on file
2.5
avg disclosures / firm

Utah at a glance

According to FINRA BrokerCheck as of July 2026, Utah ranks #19 of 56 by registered-firm inventory (29) and #25 of 56 by aggregate disclosure load (73), then #20 of 33 on disclosures-per-firm and #4 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board.

#19 of 56
registered-firm inventory
#25 of 56
aggregate disclosure load
#20 of 33
disclosures per firm (≥10 firms)
#4 of 33
Grade-A share (≥10 firms)

Disclosure-load ordinal matches the /states listing. Missouri leads disclosures-per-firm; Maine leads Grade-A share among states with at least 10 firms. Neither rank is investment advice. See methodology · corpus placement.

Where Utah sits by disclosures per firm

COUNT-derived placement among 33 states and territories with at least 10 graded firms. Lower intensity is cleaner for residents; large multistate HQs can lift a state's average without describing every local office.

Utah vs every ≥10-firm state by disclosures per firm

Size-normalized disclosure intensity · FINRA BrokerCheck extract

3 a lower disclosures-per-firm load than 39% of 33 floor-qualified states

0–2: 10 floor-qualified states (30%). Below this entry. 2–4: 9 floor-qualified states (27%). This entry sits in this band. 4–6: 8 floor-qualified states (24%). Above this entry. 6–8: 1 floor-qualified states (3%). Above this entry. 8–10: 1 floor-qualified states (3%). Above this entry. 10–12: 0 floor-qualified states (0%). Above this entry. 12–14: 2 floor-qualified states (6%). Above this entry. 14–16: 0 floor-qualified states (0%). Above this entry. 16–18: 0 floor-qualified states (0%). Above this entry. 18–20: 1 floor-qualified states (3%). Above this entry. 20–22: 0 floor-qualified states (0%). Above this entry. 22–24: 0 floor-qualified states (0%). Above this entry. 24–26: 0 floor-qualified states (0%). Above this entry. 26–28: 0 floor-qualified states (0%). Above this entry. 28–30: 0 floor-qualified states (0%). Above this entry. 30–32: 0 floor-qualified states (0%). Above this entry. 32–34: 0 floor-qualified states (0%). Above this entry. 34–36: 1 floor-qualified states (3%). Above this entry. Utah 0 36 every state with ≥10 graded firms, bucketed by value

Each bar is a band; taller bars hold more floor-qualified states. 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 · July 2026

Firm-size mix among 29 graded firms

FINRA BrokerCheck size classes in Utah. Segments sum to the graded inventory, a catalog shape, not the A-F grade ChartBar below.

29
Registered Firms
20
Clean Record (Grade A)
73
Total Disclosures
2.5
Avg Disclosures / Firm

Grade Distribution

How Utah's 29 graded broker-dealers split across the size-normalized A-F safety scale.

A, clean (20)20 firmsB, low (8)8 firmsC, typical (0)0 firmsD, elevated (0)0 firmsF, heaviest (1)1 firm
Grade breakdown of 29 graded firms headquartered in Utah

Firms by Disclosure Count

# Firm DisclosuresOfficesGrade
1 Wilson-Davis & Co., Inc. Salt Lake City 58 2 F
2 Zions Direct, Inc. Salt Lake City 7 5 B
3 Bruce a. Lefavi Securities, Inc. Salt Lake City 2 2 B
4 American Funds & Trusts Incorporated Salt Lake City 1 2 B
5 BD|Cortina Salt Lake City 1 2 B
6 Brex Treasury LLC Salt Lake City 1 2 B
7 LRB Public Finance Advisors, Inc. Salt Lake City 1 2 B
8 MHL Investments Midvale 1 4 B
9 North Capital Private Securities Corporation Salt Lake City 1 8 B
10 Axom Partners LLC Lehi 0 3 A
11 Coinzoom Securities, LLC Salt Lake City 0 2 A
12 Crewe Capital Salt Lake City 0 4 A
13 Decheque Securities LLC Salt Lake City 0 2 A
14 DFPG Investments, LLC Sandy 0 60 A
15 EDG Capital LLC Park City 0 2 A
16 Gigatrade Brokerage, LLC Park City 0 3 A
17 Harold Dance Investments Logan 0 3 A
18 KPG Capital Partners, LLC Park City 0 2 A
19 Meraki Global Advisors LLC Park City 0 2 A
20 Methuselah Capital LLC Salt Lake City 0 3 A
21 Moreton Capital Markets, LLC Salt Lake City 0 4 A
22 North Capital Agency Brokerage, LLC Salt Lake City 0 1 A
23 Orchard Securities, LLC Pleasant Grove 0 5 A
24 Prep Securities, LLC Park City 0 2 A
25 Ridgeview Capital, LLC Salt Lake City 0 2 A
26 Rockdale Securities, LLC Bountiful 0 2 A
27 Transitional Broker LLC Draper 0 4 A
28 Trete Capital Markets, LLC Coalville 0 2 A
29 Yuki-Co, LLC Salt Lake City 0 3 A

High Grade-A share

What BrokerCheck shows for Utah

Utah ranks #4 of 33 on Grade-A share (69.0% clean) among ≥10-firm states.

According to FINRA BrokerCheck as of July 2026, Utah ranks #19 of 56 by registered-firm inventory (29) and #25 of 56 by aggregate disclosure load (73), then #20 of 33 on disclosures-per-firm and #4 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Grade-A share is 69.0% (20 of 29 graded) - cleaner third among floor-qualified states; D/F share is 3.4%. Largest disclosure count in-state: Wilson-Davis & Co., Inc. (58 events, Grade F).

Grades are editorial signals from a size-normalized model, not FINRA ratings. Disclosure totals are reported events, not proven violations . This page is informational only and does not constitute financial, legal, or investment advice. Confirm current records at FINRA BrokerCheck.

Frequently asked questions

Where does Utah sit among states by BrokerCheck disclosure load?
According to FINRA BrokerCheck as of July 2026, Utah ranks #19 of 56 by registered-firm inventory (29) and #25 of 56 by aggregate disclosure load (73), then #20 of 33 on disclosures-per-firm and #4 of 33 on Grade-A share among states with at least 10 firms. Inventory rank is not intensity rank: Missouri leads disclosures-per-firm on that 33-state board. Aggregate disclosure load is not a judgment of the state's regulators or of any individual firm.
How many broker-dealer firms are registered in Utah?
Utah has 29 actively registered broker-dealer firms on FINRA BrokerCheck, of which 20 (69.0%) hold a clean Grade-A record with no reportable disclosures.
Which Utah broker-dealer has the most FINRA disclosures?
Wilson-Davis & Co., Inc. leads Utah's listing with 58 BrokerCheck disclosures across 2 offices (Grade F). Totals are reported events, not proven violations - verify on FINRA BrokerCheck.
How should I read Utah's safety grades?
Grades for Utah firms are size-normalized: weighted disclosure load ÷ branch footprint, ranked within size class. Zero-disclosure firms earn A. Editorial signals, not FINRA ratings - see methodology.
Is this official Utah broker data?
Yes. Utah's firm rows come from FINRA BrokerCheck and SEC IAPD public registries. PlainAdvisorCheck aggregates and size-normalizes them; underlying records are public domain. This is not financial advice.
All Utah Firms → All States →

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records for Utah. Utah ranks #19 by firm inventory and #25 by disclosure load in the PlainAdvisorCheck extract as of July 2026.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.