CRD #797 · FINRA BrokerCheck + SEC IAPD

A.B. Watley, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A.B. Watley, Inc. ranks #435 of 20,055 by disclosure count (most disclosures first). A.B. Watley, Inc. carries 15 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
15
disclosures
#435 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 797 A.B. Watley, Inc.

A.B. Watley, Inc. · Grade D · 15 disc · 15.00/office · Single-office firm

  • CRD 797
  • GRADE D
  • DISC 15
  • REG 12
  • ARB 2
  • CIV 1
  • BRANCH 0
  • PER-OFF n/a
  • RANK #435 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: ALL-Tech Direct, Inc. (15.00 disc/office)

ALL-Tech Direct, Inc.15.00Banc ONE Securities Cor…15.00Bowling Green Securitie…15.00A.B. Watley, Inc. (this)15.00
Disclosures per office among single-office firm peers (lower is cleaner)

A.B. Watley, Inc. ranks #435 of 20,055 by disclosure count among graded broker-dealers; heavy load at 15.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

15 events

On FINRA BrokerCheck

Regulatory events

12 actions

80% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 12
Arbitrations 2
Civil Events 1
Total 15

Counts for A.B. Watley, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 12 Arbitration 2 Civil 1

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
12/12/1958
State of Formation
New York
CRD Number
797
SEC Number
7080

Regulator-heavy mix

A.B. Watley, Inc. in the heavier-disclosure third

A.B. Watley, Inc. carries 15 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#435 of 20,055). Regulator-initiated events are 80% of the book (12 regulatory / 2 arbitration / 1 civil).

80% of A.B. Watley, Inc.'s 15 disclosures are regulator-initiated (12 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of A.B. Watley, 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, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, A.B. Watley, Inc. ranks #435 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 D mean for A.B. Watley, Inc.?
A grade of D reflects A.B. Watley, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 15 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does A.B. Watley, Inc. have?
A.B. Watley, Inc. has 15 total FINRA disclosures, including 12 regulatory events, 2 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is A.B. Watley, Inc.?
A.B. Watley, 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, Inc.'s disciplinary record?
You can verify A.B. Watley, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 797. 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, Inc.'s 15 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid A.B. Watley, 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, Inc. carries 15 disclosures across 0 branch offices (about 15.00 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.