CRD #23551 · FINRA BrokerCheck + SEC IAPD

CWS Investments

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, CWS Investments ranks #2,677 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #38 of 279 on the same disclosure sort used on the state browse page. CWS Investments carries 2 BrokerCheck disclosures across 21 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
21
branch offices
2
disclosures
#2,677 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 23551 CWS Investments

CWS Investments · Grade B · 2 disc · 0.10/office · Mid-sized firm

  • CRD 23551
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 21
  • PER-OFF 0.10
  • RANK #2,677 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Arete Wealth Management, LLC (0.10 disc/office)

Arete Wealth Management…0.10Securities Management &…0.09Associated Investment S…0.09CWS Investments (this)0.10
Disclosures per office among mid-sized firm peers (lower is cleaner)

CWS Investments ranks #2,677 of 20,055 by disclosure count among graded broker-dealers; light load at 0.10 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

21 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

0.10 per office

2 ÷ 21 offices

CWS Investments 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 87% 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 2
Arbitrations 0
Civil Events 0
Total 2

Counts for CWS Investments reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

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

Regulator-heavy mix

CWS Investments in the heavier-disclosure third

CWS Investments carries 2 BrokerCheck disclosures across 21 branch offices - a heavier-third raw book among graded firms (#2,677 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of CWS Investments's 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

California cohort · 0.98× state average

CWS Investments tracks near the California disclosure average

CWS Investments reports 2 BrokerCheck disclosures, about 0.98× the California average of 2.1 across 279 graded firms.

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 CWS Investments sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, CWS Investments ranks #2,677 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #38 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 CWS Investments?
A grade of B reflects CWS Investments's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 2 total disclosures across 21 branch offices. Review the specific disclosures on FINRA BrokerCheck 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 big is CWS Investments?
CWS Investments operates 21 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 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 accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. CWS Investments carries 2 disclosures across 21 branch offices (about 0.10 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 CWS Investments, 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.

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.