CRD #4 · FINRA BrokerCheck + SEC IAPD

A. G. Edwards & Sons, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A. G. Edwards & Sons, Inc. ranks #12 of 20,055 by disclosure count (most disclosures first). A. G. Edwards & Sons, Inc. carries 342 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
342
disclosures
#12 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 4 A. G. Edwards & Sons, Inc.

A. G. Edwards & Sons, Inc. · Grade F · 342 disc · 342.00/office · Single-office firm

  • CRD 4
  • GRADE F
  • DISC 342
  • REG 77
  • ARB 265
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #12 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Credit Suisse Securities (USA) LLC (354.00 disc/office)

Credit Suisse Securitie…354.00Morgan Keegan & Company…268.00E*Trade Securities LLC232.00A. G. Edwards & Son… (this)342.00
Disclosures per office among single-office firm peers (lower is cleaner)

A. G. Edwards & Sons, Inc. ranks #12 of 20,055 by disclosure count among graded broker-dealers; heavy load at 342.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

342 events

On FINRA BrokerCheck

Regulatory events

77 actions

23% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 77
Arbitrations 265
Civil Events 0
Total 342

Counts for A. G. Edwards & Sons, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 77 Arbitration 265 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
4

Customer-facing mix

A. G. Edwards & Sons, Inc. in the heavier-disclosure third

A. G. Edwards & Sons, Inc. carries 342 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#12 of 20,055). Customer-facing events dominate: 265 arbitration and 0 civil versus 77 regulatory (23% regulator share).

Only 23% of A. G. Edwards & Sons, Inc.'s disclosures are regulator-initiated; arbitrations (265) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of A. G. Edwards & Sons, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does A. G. Edwards & Sons, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A. G. Edwards & Sons, Inc. ranks #12 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for A. G. Edwards & Sons, Inc.?
A grade of F reflects A. G. Edwards & Sons, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 342 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does A. G. Edwards & Sons, Inc. have?
A. G. Edwards & Sons, Inc. has 342 total FINRA disclosures, including 77 regulatory events, 265 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is A. G. Edwards & Sons, Inc.?
A. G. Edwards & Sons, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify A. G. Edwards & Sons, Inc.'s disciplinary record?
You can verify A. G. Edwards & Sons, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 4. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). A. G. Edwards & Sons, Inc.'s 342 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid A. G. Edwards & Sons, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. A. G. Edwards & Sons, Inc. carries 342 disclosures across 0 branch offices (about 342.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.