Branch offices
0 offices
FINRA: Small firm
CRD #18663 · FINRA BrokerCheck + SEC IAPD
A.B. Watley Direct, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A.B. Watley Direct, Inc. ranks #367 of 20,055 by disclosure count (most disclosures first). A.B. Watley Direct, Inc. carries 17 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 17
- disclosures
- #367 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 18663 A.B. Watley Direct, Inc.
A.B. Watley Direct, Inc. · Grade F · 17 disc · 17.00/office · Single-office firm
- CRD 18663
- GRADE F
- DISC 17
- REG 16
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #367 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Branch, Cabell & Co., Inc. (17.00 disc/office)
A.B. Watley Direct, Inc. ranks #367 of 20,055 by disclosure count among graded broker-dealers; heavy load at 17.00 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
Total disclosures
17 events
On FINRA BrokerCheck
Regulatory events
16 actions
94% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 16 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 17 |
Counts for A.B. Watley Direct, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 16 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 18663
Regulator-heavy mix
A.B. Watley Direct, Inc. in the heavier-disclosure third
A.B. Watley Direct, Inc. carries 17 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#367 of 20,055). Regulator-initiated events are 94% of the book (16 regulatory / 1 arbitration / 0 civil).
94% of A.B. Watley Direct, Inc.'s 17 disclosures are regulator-initiated (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of A.B. Watley Direct, 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.B. Watley Direct, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A.B. Watley Direct, Inc. ranks #367 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.B. Watley Direct, Inc.?
A grade of F reflects A.B. Watley Direct, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 17 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does A.B. Watley Direct, Inc. have?
A.B. Watley Direct, Inc. has 17 total FINRA disclosures, including 16 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is A.B. Watley Direct, Inc.?
A.B. Watley Direct, 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.B. Watley Direct, Inc.'s disciplinary record?
You can verify A.B. Watley Direct, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 18663. 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.B. Watley Direct, Inc.'s 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid A.B. Watley Direct, 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.B. Watley Direct, Inc. carries 17 disclosures across 0 branch offices (about 17.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Branch, Cabell & Co., Inc. - 17.00 disclosures/office, nearest single-office firm peer to A.B. Watley Direct, Inc.'s 17.00
- Cargill Investor Services, Inc. - 17.00 disclosures/office, nearest single-office firm peer to A.B. Watley Direct, Inc.'s 17.00
- CIS Securities, Inc. - 17.00 disclosures/office, nearest single-office firm peer to A.B. Watley Direct, Inc.'s 17.00
- Red Flags in Advisor Records - How to read A.B. Watley Direct, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 17 disclosures behind A.B. Watley Direct, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as A.B. Watley Direct, Inc..
- Compare firms - put A.B. Watley Direct, Inc. next to peers on grade and footprint.
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.