Utah

Broker-dealer firm disciplinary records from FINRA BrokerCheck

Data updated July 2026

Utah at a glance

As of July 2026, Utah registers 29 broker-dealer firms on FINRA BrokerCheck - 20 carry a clean record and 73 disclosures are on file statewide.

29
registered firms: 20
with a clean record (Grade A): 73
total disclosures statewide: 2.5
disclosures per firm (avg)

Registered Firms

Clean Record (Grade A)

Total Disclosures

2.5

Avg Disclosures / Firm

How Utah ranks

A state's raw firm count and its disciplinary clean-record rate measure two different things, and they do not always move together. A jurisdiction can host a large number of broker-dealer firms simply because it is a major financial hub, while a smaller state with far fewer registered firms can post a cleaner disciplinary record in relative terms, or vice versa. Comparing both rankings side by side, rather than looking at either figure in isolation, gives a fuller picture of what is actually happening on the ground in a given state.

By firm count, Utah is #19 of 56 states and territories. By clean-record rate (Grade A share, among the 33 states with at least 10 registered firms, a floor that keeps a state with only a handful of firms from swinging to an extreme rate on a tiny sample), it ranks #4 of 33. These ranks diverge notably -- a smaller firm footprint here still carries a comparatively strong clean-record rate. Neither ranking implies wrongdoing on its own; always review an individual firm's own size-normalized grade before drawing a conclusion about it specifically.

Grade Distribution

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

Grade breakdown of 29 graded firms headquartered in Utah

Firms by Disclosure Count

#	Firm	Disclosures	Offices	Grade
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

Inside Utah's Broker-Dealer Landscape

Utah has 29 actively registered broker-dealer firms in FINRA's public register, of which 20 (69.0%) carry a clean Grade-A record with no reportable BrokerCheck disclosures.

The state's aggregate disciplinary footprint totals 73 disclosures on BrokerCheck, averaging 2.5 per firm. Grade distribution across Utah's broker-dealers: 20 graded A, 8 graded B, 0 graded C, 0 graded D, and 1 graded F. That means 69.0% of graded firms hold an A and 3.4% 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.

Frequently asked questions

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?

Among firms registered in Utah, Wilson-Davis & Co., Inc. carries the most reported BrokerCheck disclosures (58 across 2 branch offices). Disclosure totals reflect reported events, not proven violations, larger firms naturally carry more. Always review the specific records on FINRA BrokerCheck.

How are PlainAdvisorCheck safety grades calculated?

Grades are size-normalized: a firm's weighted disclosure load is divided by its branch-office footprint, then ranked within its size class. Firms with zero disclosures earn an A regardless of size. Grades are editorial signals, not FINRA ratings. See our methodology for the exact formula.

Is this official Utah broker data?

Yes. All firm records come from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD) - the official public registries for U.S. broker-dealers. PlainAdvisorCheck aggregates and size-normalizes them; the underlying records are public domain.

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

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Compiled by PlainAdvisorCheck Editorial, Financial Advisor Discipline Editorial Team

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 SEC/FINRA regulatory filing 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.