Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #285 · FINRA BrokerCheck + SEC IAPD
Ferris, Baker Watts, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ferris, Baker Watts, LLC ranks #98 of 20,055 by disclosure count (most disclosures first). Ferris, Baker Watts, LLC carries 50 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 50
- disclosures
- #98 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 285 Ferris, Baker Watts, LLC
Ferris, Baker Watts, LLC · Grade F · 50 disc · 50.00/office · Single-office firm
- CRD 285
- GRADE F
- DISC 50
- REG 32
- ARB 18
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #98 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: LCP Capital Corp. (50.00 disc/office)
Ferris, Baker Watts, LLC ranks #98 of 20,055 by disclosure count among graded broker-dealers; heavy load at 50.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
50 events
On FINRA BrokerCheck
Regulatory events
32 actions
64% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 32 |
| Arbitrations | 18 |
| Civil Events | 0 |
| Total | 50 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 32 Arbitration 18 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 285
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 Ferris, Baker Watts, LLC
Ferris, Baker Watts, LLC (broker-dealer, CRD# 285) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 50 disclosures as of July 2026: 32 regulatory (64%), 18 arbitration, 0 civil. Letter grade F (1/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Ferris, Baker Watts, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ferris, Baker Watts, LLC ranks #98 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 F mean for Ferris, Baker Watts, LLC?
A grade of F reflects Ferris, Baker Watts, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 50 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Ferris, Baker Watts, LLC have?
Ferris, Baker Watts, LLC has 50 total FINRA disclosures, including 32 regulatory events, 18 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ferris, Baker Watts, LLC?
Ferris, Baker Watts, LLC 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 Ferris, Baker Watts, LLC's disciplinary record?
You can verify Ferris, Baker Watts, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 285. 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 Ferris, Baker Watts, LLC 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. Ferris, Baker Watts, LLC carries 50 disclosures across 0 branch offices (about 50.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- LCP Capital Corp. - 50.00 disclosures/office, nearest single-office firm peer to Ferris, Baker Watts, LLC's 50.00
- BB&T Securities, LLC - 51.00 disclosures/office, nearest single-office firm peer to Ferris, Baker Watts, LLC's 50.00
- J.P. Securities, Inc. - 51.00 disclosures/office, nearest single-office firm peer to Ferris, Baker Watts, LLC's 50.00
- Red Flags in Advisor Records - How to read Ferris, Baker Watts, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 50 disclosures behind Ferris, Baker Watts, LLC's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Ferris, Baker Watts, LLC.
- Compare firms - put Ferris, Baker Watts, LLC next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.