Branch offices
31 offices
FINRA: Small firm
CRD #103747 · FINRA BrokerCheck + SEC IAPD
AW Securities
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, AW Securities ranks #6,074 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #110 of 279 on the same disclosure sort used on the state browse page. AW Securities has a clean FINRA BrokerCheck record, no reportable disclosures across its 31 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 31
- branch offices
- 0
- disclosures
- #6,074 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 103747 AW Securities
AW Securities · Grade A · 0 disc · 0.00/office · Mid-sized firm
- CRD 103747
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 31
- PER-OFF 0.00
- RANK #6,074 of 20,055
- BOOK Mid-sized firm
Nearest same-size peer: ABD Retirement Services, Inc. (0.00 disc/office)
AW Securities ranks #6,074 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 31 offices
Clean disclosure surface
AW Securities has zero reportable FINRA BrokerCheck disclosures in this extract across 31 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Folsom, CA, 95630
- Formed
- 10/26/2020
- State of Formation
- Delaware
- CRD Number
- 103747
- SEC Number
- 52250
Clean BrokerCheck surface
AW Securities's clean BrokerCheck surface
AW Securities shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 31 branch offices (Grade A).
AW Securities shows zero reportable disclosures across 31 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of AW Securities's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
California cohort · 0.00× state average
AW Securities sits below the California disclosure average
AW Securities reports 0 BrokerCheck disclosures, 0.00× the California average of 2.1, lighter than most of the 279 graded firms filed there.
In California, 189 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the California state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does AW Securities sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, AW Securities ranks #6,074 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #110 of 279 on the same disclosure sort used on the state browse page. 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 A mean for AW Securities?
A grade of A means AW Securities has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does AW Securities have?
AW Securities has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is AW Securities?
AW Securities operates 31 branch offices and is classified by FINRA as a small firm, registered in CA (Mid-sized 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 AW Securities's disciplinary record?
You can verify AW Securities's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 103747. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. AW Securities currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for AW Securities, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (31 here).
Read with this firm
- ABD Retirement Services, Inc. - 0.00 disclosures/office, nearest mid-sized firm peer to AW Securities's 0.00
- Advanced Advisor Group, LLC (MN) - 0.00 disclosures/office, nearest mid-sized firm peer to AW Securities's 0.00
- Aurora Securities (MI) - 0.00 disclosures/office, nearest mid-sized firm peer to AW Securities's 0.00
- Firms in CA - state roster that includes AW Securities's registration home.
- How to Vet a Financial Advisor - Use AW Securities's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like AW Securities's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside AW Securities.
- Compare firms - put AW Securities next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.