Branch offices
2 offices
FINRA: Small firm
CRD #130645 · FINRA BrokerCheck + SEC IAPD
Dawson James Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dawson James Securities, Inc. ranks #410 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #13 of 251 on the same disclosure sort used on the state browse page. Dawson James Securities, Inc. carries 16 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 2
- branch offices
- 16
- disclosures
- #410 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 130645 Dawson James Securities, Inc.
Dawson James Securities, Inc. · Grade D · 16 disc · 8.00/office · Small firm
- CRD 130645
- GRADE D
- DISC 16
- REG 12
- ARB 3
- CIV 1
- BRANCH 2
- PER-OFF 8.00
- RANK #410 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: H.C.WAINWRIGHT & Co., LLC (8.00 disc/office)
Dawson James Securities, Inc. ranks #410 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
Total disclosures
16 events
On FINRA BrokerCheck
Regulatory events
12 actions
75% of all disclosures
Disclosures per office
8.00 per office
16 ÷ 2 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Dawson James Securities, Inc. - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 12 |
| Arbitrations | 3 |
| Civil Events | 1 |
| Total | 16 |
Counts for Dawson James Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 12 Arbitration 3 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Boca Raton, FL
- CRD Number
- 130645
Regulator-heavy mix
Dawson James Securities, Inc. in the heavier-disclosure third
Dawson James Securities, Inc. carries 16 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#410 of 20,055). Regulator-initiated events are 75% of the book (12 regulatory / 3 arbitration / 1 civil).
75% of Dawson James Securities, Inc.'s 16 disclosures are regulator-initiated (12 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Dawson James Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Florida cohort · 3.49× state average
Dawson James Securities, Inc. sits above the Florida disclosure average
Dawson James Securities, Inc. reports 16 BrokerCheck disclosures, 3.49× the Florida average of 4.6 across 251 graded firms with a principal-office state on file.
In Florida, 152 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 Florida state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Dawson James Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dawson James Securities, Inc. ranks #410 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #13 of 251 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 D mean for Dawson James Securities, Inc.?
A grade of D reflects Dawson James Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 16 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Dawson James Securities, Inc. have?
Dawson James Securities, Inc. has 16 total FINRA disclosures, including 12 regulatory events, 3 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Dawson James Securities, Inc.?
Dawson James Securities, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in FL (Small 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 Dawson James Securities, Inc.'s disciplinary record?
You can verify Dawson James Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 130645. 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). Dawson James Securities, Inc.'s 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Dawson James Securities, 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. Dawson James Securities, Inc. carries 16 disclosures across 2 branch offices (about 8.00 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 Dawson James Securities, Inc., both outside FL 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 (16 here).
Read with this firm
- H.C.WAINWRIGHT & Co., LLC (NY) - 8.00 disclosures/office, nearest small firm peer to Dawson James Securities, Inc.'s 8.00
- Sagetrader, LLC (NJ) - 8.00 disclosures/office, nearest small firm peer to Dawson James Securities, Inc.'s 8.00
- SAL Equity Trading, GP (PA) - 8.00 disclosures/office, nearest small firm peer to Dawson James Securities, Inc.'s 8.00
- Firms in FL - state roster that includes Dawson James Securities, Inc.'s registration home.
- Red Flags in Advisor Records - How to read Dawson James Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 16 disclosures behind Dawson James Securities, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Dawson James Securities, Inc..
- Compare firms - put Dawson James Securities, Inc. next to peers on grade and footprint.
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.