# CONNING & COMPANY

> FINRA firm 1512 · **⚠ HAS DISCLOSURE EVENTS**

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 1512
- **Firm name:** CONNING & COMPANY
- **Other names:** CONNING & COMPANY, CONNING & COMPANY, INC.
- **Investment Adviser scope:** —
- **SEC BD file number:** 8-13682
- **Branches:** 0
- **Has disclosure events:** YES

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/1512

## Citation

> FINRA BrokerCheck, firm 1512 (CONNING & COMPANY). Retrieved via AI Analytics 2026-05-17 from https://api.ai-analytics.org/broker/1512.

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