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.

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.