CONNING & COMPANY ⚠ Disclosure events

FINRA firm 1512 · view on BrokerCheck ↗

⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID: 1512
Firm name: CONNING & COMPANY
Other names / DBAs: CONNING & COMPANY; CONNING & COMPANY, INC.
IA scope: —
SEC BD file: 8-13682
Branches: 0
Disclosure events: YES

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