CRD #940 · FINRA BrokerCheck + SEC IAPD

Hambrecht & Quist LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hambrecht & Quist LLC ranks #268 of 20,055 by disclosure count (most disclosures first). Hambrecht & Quist LLC carries 22 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
22
disclosures
#268 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 940 Hambrecht & Quist LLC

Hambrecht & Quist LLC · Grade F · 22 disc · 22.00/office · Single-office firm

  • CRD 940
  • GRADE F
  • DISC 22
  • REG 20
  • ARB 2
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #268 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Ameritrade Northwest, Inc. (22.00 disc/office)

Ameritrade Northwest, Inc.22.00Canaccord Genuity Secur…22.00Consolidated Trading LLC22.00Hambrecht & Quist LLC (this)22.00
Disclosures per office among single-office firm peers (lower is cleaner)

Hambrecht & Quist LLC ranks #268 of 20,055 by disclosure count among graded broker-dealers; heavy load at 22.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

22 events

On FINRA BrokerCheck

Regulatory events

20 actions

91% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 20
Arbitrations 2
Civil Events 0
Total 22

Counts for Hambrecht & Quist LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 20 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
03/08/1995
State of Formation
Delaware
CRD Number
940
SEC Number
29123

Regulator-heavy mix

Hambrecht & Quist LLC in the heavier-disclosure third

Hambrecht & Quist LLC carries 22 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#268 of 20,055). Regulator-initiated events are 91% of the book (20 regulatory / 2 arbitration / 0 civil).

91% of Hambrecht & Quist LLC's 22 disclosures are regulator-initiated (20 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Hambrecht & Quist LLC'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 Hambrecht & Quist LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hambrecht & Quist LLC ranks #268 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 Hambrecht & Quist LLC?
A grade of F reflects Hambrecht & Quist LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 22 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Hambrecht & Quist LLC have?
Hambrecht & Quist LLC has 22 total FINRA disclosures, including 20 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Hambrecht & Quist LLC?
Hambrecht & Quist 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 Hambrecht & Quist LLC's disciplinary record?
You can verify Hambrecht & Quist LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 940. 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). Hambrecht & Quist LLC's 22 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Hambrecht & Quist 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. Hambrecht & Quist LLC carries 22 disclosures across 0 branch offices (about 22.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.