CRD #13572 · FINRA BrokerCheck + SEC IAPD

Cetera Wealth Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cetera Wealth Services, LLC ranks #137 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #2 of 279 on the same disclosure sort used on the state browse page. Cetera Wealth Services, LLC carries 37 BrokerCheck disclosures across 4,114 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
4,114
branch offices
37
disclosures
#137 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 13572 Cetera Wealth Services, LLC

Cetera Wealth Services, LLC · Grade B · 37 disc · 0.01/office · National firm

  • CRD 13572
  • GRADE B
  • DISC 37
  • REG 20
  • ARB 15
  • CIV 2
  • BRANCH 4,114
  • PER-OFF 0.01
  • RANK #137 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: LPL Financial LLC (0.01 disc/office)

LPL Financial LLC0.01Nylife Securities LLC0.01Northwestern Mutual Inv…0.01Cetera Wealth Servi… (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

Cetera Wealth Services, LLC ranks #137 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

4,114 offices

FINRA: Large firm

Total disclosures

37 events

On FINRA BrokerCheck

Regulatory events

20 actions

54% of all disclosures

Disclosures per office

0.01 per office

37 ÷ 4,114 offices

Cetera Wealth Services, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 20
Arbitrations 15
Civil Events 2
Total 37

Counts for Cetera Wealth Services, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 20 Arbitration 15 Civil 2

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
El Segundo, CA
CRD Number
13572

Lower disclosures per office

Cetera Wealth Services, LLC in the heavier-disclosure third

Cetera Wealth Services, LLC carries 37 BrokerCheck disclosures across 4,114 branch offices - a heavier-third raw book among graded firms (#137 of 20,055). Mix is 20 regulatory, 15 arbitration, and 2 civil (54% regulator share).

Cetera Wealth Services, LLC runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Cetera Wealth Services, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

California cohort · 18× state average

Cetera Wealth Services, LLC sits above the California disclosure average

Cetera Wealth Services, LLC reports 37 BrokerCheck disclosures, 18× the California average of 2.1 across 279 graded firms with a principal-office state on file.

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 Cetera Wealth Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cetera Wealth Services, LLC ranks #137 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #2 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 B mean for Cetera Wealth Services, LLC?
A grade of B reflects Cetera Wealth Services, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 37 total disclosures across 4,114 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Cetera Wealth Services, LLC have?
Cetera Wealth Services, LLC has 37 total FINRA disclosures, including 20 regulatory events, 15 arbitrations, 2 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Cetera Wealth Services, LLC?
Cetera Wealth Services, LLC operates 4,114 branch offices and is classified by FINRA as a large firm, registered in CA (National 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 Cetera Wealth Services, LLC's disciplinary record?
You can verify Cetera Wealth Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13572. 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). Cetera Wealth Services, LLC's 37 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Cetera Wealth Services, LLC 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. Cetera Wealth Services, LLC carries 37 disclosures across 4,114 branch offices (about 0.01 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Cetera Wealth Services, LLC, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.