Branch offices
3 offices
FINRA: Small firm
CRD #42186 · FINRA BrokerCheck + SEC IAPD
G.W. Sherwold Associates, Inc
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, G.W. Sherwold Associates, Inc ranks #11,202 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #162 of 279 on the same disclosure sort used on the state browse page. G.W. Sherwold Associates, Inc has a clean FINRA BrokerCheck record, no reportable disclosures across its 3 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 3
- branch offices
- 0
- disclosures
- #11,202 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 42186 G.W. Sherwold Associates, Inc
G.W. Sherwold Associates, Inc · Grade A · 0 disc · 0.00/office · Small firm
- CRD 42186
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 0.00
- RANK #11,202 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
G.W. Sherwold Associates, Inc ranks #11,202 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 3 offices
Clean disclosure surface
G.W. Sherwold Associates, Inc has zero reportable FINRA BrokerCheck disclosures in this extract across 3 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Lake Forest, CA
- CRD Number
- 42186
Clean BrokerCheck surface
G.W. Sherwold Associates, Inc's clean BrokerCheck surface
G.W. Sherwold Associates, Inc shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 3 branch offices (Grade A).
G.W. Sherwold Associates, Inc shows zero reportable disclosures across 3 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of G.W. Sherwold Associates, Inc's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
California cohort · 0.00× state average
G.W. Sherwold Associates, Inc sits below the California disclosure average
G.W. Sherwold Associates, Inc reports 0 BrokerCheck disclosures, 0.00× the California average of 2.1, lighter than most of the 279 graded firms filed there.
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 G.W. Sherwold Associates, Inc sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, G.W. Sherwold Associates, Inc ranks #11,202 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #162 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 A mean for G.W. Sherwold Associates, Inc?
A grade of A means G.W. Sherwold Associates, Inc has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does G.W. Sherwold Associates, Inc have?
G.W. Sherwold Associates, Inc has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is G.W. Sherwold Associates, Inc?
G.W. Sherwold Associates, Inc operates 3 branch offices and is classified by FINRA as a small firm, registered in CA (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 G.W. Sherwold Associates, Inc's disciplinary record?
You can verify G.W. Sherwold Associates, Inc's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 42186. 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 BrokerCheck record. G.W. Sherwold Associates, Inc currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to G.W. Sherwold Associates, Inc's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to G.W. Sherwold Associates, Inc's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to G.W. Sherwold Associates, Inc's 0.00
- Firms in CA - state roster that includes G.W. Sherwold Associates, Inc's registration home.
- How to Vet a Financial Advisor - Use G.W. Sherwold Associates, Inc's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like G.W. Sherwold Associates, Inc's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside G.W. Sherwold Associates, Inc.
- Compare firms - put G.W. Sherwold Associates, Inc next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
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.