Registered advisors
1 advisors
Small firm tier
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 23551 Grade F
CWS INVESTMENTS — FINRA BrokerCheck Disciplinary Record
Corporation headquartered in NEWPORT BEACH, CA. 1 registered advisor, 200.0% disclosure rate.
CWS INVESTMENTS registration status — ACTIVE
Total disclosures
2 events
On FINRA BrokerCheck
Disclosure rate
200.0%
2 ÷ 1 advisors
Branch offices
21 offices
Formed in California
Disclosure Density
Disclosures per registered advisor — relative to peer-firm benchmarks.
CWS INVESTMENTS — disclosures per advisor 100.0%
Industry median
Compared against the 0.10-disclosure-per-advisor industry-median benchmark drawn from the firms table.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 2 |
| Customer Complaints | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 2 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
CWS INVESTMENTS — 2 disclosures on FINRA U4/U5 categories
Peer Comparison
CWS INVESTMENTS vs. industry-median benchmarks for Small-tier broker-dealer firms.
Disclosure rate
200.0%
Industry median: 10.0%
Reg events / advisor
2.00
Industry median: 0.05
Branches / advisor
21.00
Industry median: 0.15
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- NEWPORT BEACH, CA, 92660
- Formed
- 10/04/1988
- State of Formation
- California
- CRD Number
- 23551
- SEC Number
- 40494
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About CWS INVESTMENTS
CWS INVESTMENTS (Corporation, CRD# 23551 · SEC# 40494 · NEWPORT BEACH, CA) reports 1 advisor across 21 branches — Small tier, scope ACTIVE.
BrokerCheck shows 2 disclosures (200.0% per-advisor rate): 2 regulatory, 0 customer-complaint, 0 arbitration, 0 civil. Letter grade F (1/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a high disclosure rate relative to advisor headcount is a signal worth examining before you hire. Compare the per-advisor rate above against firms of similar size, and read each disclosure's underlying detail on the official record rather than relying on the headline count alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA, BrokerCheck Public Disclosure Data (2024) FINRA, BrokerCheck Public Disclosure Data (2024)
Frequently Asked Questions
What does a grade of F mean for CWS INVESTMENTS?
A grade of F indicates CWS INVESTMENTS has a significant number of FINRA disclosures relative to its size (200.0% disclosure rate). Prospective clients should review the specific disclosures before engaging.
How many FINRA disclosures does CWS INVESTMENTS have?
CWS INVESTMENTS has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How many financial advisors work at CWS INVESTMENTS?
CWS INVESTMENTS has 1 registered advisor and 21 branch offices, headquartered in CA. Advisor counts are sourced from FINRA BrokerCheck public records.
Where can I verify CWS INVESTMENTS's disciplinary record?
You can verify CWS INVESTMENTS's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 23551. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid CWS INVESTMENTS because of its disclosures?
Not necessarily. Larger firms with more advisors tend to accumulate more disclosures. CWS INVESTMENTS has a 200.0% disclosure rate (2 disclosures across 1 advisors). Consider reviewing the nature of individual disclosures on FINRA BrokerCheck and comparing rates with similarly-sized firms before making a decision.
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Read our methodology — how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial