Branch offices
0 offices
FINRA: Small firm
CRD #37730 · FINRA BrokerCheck + SEC IAPD
D.L. Cromwell Investments, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D.L. Cromwell Investments, Inc. ranks #374 of 20,055 by disclosure count (most disclosures first). D.L. Cromwell Investments, Inc. carries 17 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 17
- disclosures
- #374 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 37730 D.L. Cromwell Investments, Inc.
D.L. Cromwell Investments, Inc. · Grade D · 17 disc · 17.00/office · Single-office firm
- CRD 37730
- GRADE D
- DISC 17
- REG 11
- ARB 6
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #374 of 20,055
- BOOK Single-office firm
Nearest same-size peer: A.B. Watley Direct, Inc. (17.00 disc/office)
D.L. Cromwell Investments, Inc. ranks #374 of 20,055 by disclosure count among graded broker-dealers; heavy load at 17.00 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
17 events
On FINRA BrokerCheck
Regulatory events
11 actions
65% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 6 |
| Civil Events | 0 |
| Total | 17 |
Counts for D.L. Cromwell Investments, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 6 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 37730
Heavy disclosure book
D.L. Cromwell Investments, Inc. in the heavier-disclosure third
D.L. Cromwell Investments, Inc. carries 17 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#374 of 20,055). Regulator-initiated events are 65% of the book (11 regulatory / 6 arbitration / 0 civil).
D.L. Cromwell Investments, Inc. ranks #374 of 20,055 by BrokerCheck disclosure count among graded firms (17 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of D.L. Cromwell Investments, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does D.L. Cromwell Investments, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D.L. Cromwell Investments, Inc. ranks #374 of 20,055 by disclosure count (most disclosures first). 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 D.L. Cromwell Investments, Inc.?
A grade of D reflects D.L. Cromwell Investments, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 17 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does D.L. Cromwell Investments, Inc. have?
D.L. Cromwell Investments, Inc. has 17 total FINRA disclosures, including 11 regulatory events, 6 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is D.L. Cromwell Investments, Inc.?
D.L. Cromwell Investments, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 D.L. Cromwell Investments, Inc.'s disciplinary record?
You can verify D.L. Cromwell Investments, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 37730. 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). D.L. Cromwell Investments, Inc.'s 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid D.L. Cromwell Investments, 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. D.L. Cromwell Investments, Inc. carries 17 disclosures across 0 branch offices (about 17.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- A.B. Watley Direct, Inc. - 17.00 disclosures/office, nearest single-office firm peer to D.L. Cromwell Investments, Inc.'s 17.00
- Branch, Cabell & Co., Inc. - 17.00 disclosures/office, nearest single-office firm peer to D.L. Cromwell Investments, Inc.'s 17.00
- Cargill Investor Services, Inc. - 17.00 disclosures/office, nearest single-office firm peer to D.L. Cromwell Investments, Inc.'s 17.00
- Red Flags in Advisor Records - How to read D.L. Cromwell Investments, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 17 disclosures behind D.L. Cromwell Investments, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as D.L. Cromwell Investments, Inc..
- Compare firms - put D.L. Cromwell Investments, 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.
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.