Vermont
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| D. B. MCKENNA & CO., INC. | 1 | 1 | F | Active |
Inside Vermont's Broker-Dealer Landscape
Vermont is home to 1 broker-dealer firm in FINRA's public register, of which 1 (100.0%) are currently marked ACTIVE. Those firms employ 1 registered advisor across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 1 disclosure on BrokerCheck, averaging 1.0 per firm. Grade distribution across Vermont's broker-dealers: 0 graded A, 0 graded B, 0 graded C, 0 graded D, and 1 graded F. That means 0.0% of graded firms hold an A and 100.0% 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 Vermont 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 Vermont 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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