CRD #5393 · FINRA BrokerCheck + SEC IAPD

Charles Schwab & Co., Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Charles Schwab & Co., Inc. ranks #14 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #1 of 189 on the same disclosure sort used on the state browse page. Charles Schwab & Co., Inc. carries 318 BrokerCheck disclosures across 1,403 branch offices - light load for a national firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
1,403
branch offices
318
disclosures
#14 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5393 Charles Schwab & Co., Inc.

Charles Schwab & Co., Inc. · Grade C · 318 disc · 0.23/office · National firm

  • CRD 5393
  • GRADE C
  • DISC 318
  • REG 58
  • ARB 257
  • CIV 3
  • BRANCH 1,403
  • PER-OFF 0.23
  • RANK #14 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: UBS Financial Services Inc. (0.15 disc/office)

UBS Financial Services …0.15RBC Capital Markets, LLC0.12Raymond James & Associa…0.08Charles Schwab & Co… (this)0.23
Disclosures per office among national firm peers (lower is cleaner)

Charles Schwab & Co., Inc. ranks #14 of 20,055 by disclosure count among graded broker-dealers; light load at 0.23 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

1,403 offices

FINRA: Large firm

Total disclosures

318 events

On FINRA BrokerCheck

Regulatory events

58 actions

18% of all disclosures

Disclosures per office

0.23 per office

318 ÷ 1,403 offices

Charles Schwab & Co., Inc. 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 75% 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 58
Arbitrations 257
Civil Events 3
Total 318

Counts for Charles Schwab & Co., Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 58 Arbitration 257 Civil 3

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Westlake, TX, 76262-8104
Formed
04/01/1971
State of Formation
California
CRD Number
5393
SEC Number
16514

Customer-facing mix

Charles Schwab & Co., Inc. in the heavier-disclosure third

Charles Schwab & Co., Inc. carries 318 BrokerCheck disclosures across 1,403 branch offices - a heavier-third raw book among graded firms (#14 of 20,055). Customer-facing events dominate: 257 arbitration and 3 civil versus 58 regulatory (18% regulator share).

Only 18% of Charles Schwab & Co., Inc.'s disclosures are regulator-initiated; arbitrations (257) and civil events (3) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Texas cohort · 79× state average

Charles Schwab & Co., Inc. sits above the Texas disclosure average

Charles Schwab & Co., Inc. reports 318 BrokerCheck disclosures, 79× the Texas average of 4.0 across 189 graded firms with a principal-office state on file.

In Texas, 110 firms carry Grade A and 1 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 Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Charles Schwab & Co., Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Charles Schwab & Co., Inc. ranks #14 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #1 of 189 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 C mean for Charles Schwab & Co., Inc.?
A grade of C reflects Charles Schwab & Co., Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 318 total disclosures across 1,403 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Charles Schwab & Co., Inc. have?
Charles Schwab & Co., Inc. has 318 total FINRA disclosures, including 58 regulatory events, 257 arbitrations, 3 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Charles Schwab & Co., Inc.?
Charles Schwab & Co., Inc. operates 1,403 branch offices and is classified by FINRA as a large firm, registered in TX (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 Charles Schwab & Co., Inc.'s disciplinary record?
You can verify Charles Schwab & Co., Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5393. 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). Charles Schwab & Co., Inc.'s 318 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Charles Schwab & Co., 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. Charles Schwab & Co., Inc. carries 318 disclosures across 1,403 branch offices (about 0.23 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 Charles Schwab & Co., Inc., both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (318 here).

UBS Securities LLC · NY 317 disc. Edward Jones · MO 325 disc. Deutsche Bank Securities Inc. · NY 307 disc. LPL Financial LLC · SC 289 disc.

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.